report of the andrew w. mellon foundation 2014 · patricia j. diaz, associate general counsel...

REPORT OF

THE ANDREW W. MELLON

FOUNDATION

2014

The Andrew W. Mellon Foundation

Reportfrom January 1, 2014through December 31, 2014

140 East 62nd Street, New York, New York 10065(212) 838-8400http://www.mellon.org

Trustees Chairmen EmeritiW. Taylor Reveley III, Chairman John C. Whitehead*Danielle S. Allen Hanna H. GrayRichard H. Brodhead Anne M. TatlockKatherine G. FarleyKathryn A. HallEarl LewisGlenn D. LowryEric M. MindichSarah E. Thomas

Officers of the CorporationEarl Lewis, PresidentJohn E. Hull, Financial Vice President and Chief Investment OfficerPhilip E. Lewis, Vice PresidentMichele S. Warman, Vice President, General Counsel and SecretaryMariët Westermann, Vice President

Program OfficersSaleem Badat, Program Director Alison Gilchrest, Program OfficerArmando I. Bengochea, Program Officer Eugene M. Tobin,Senior Program OfficerHelen Cullyer, Program Officer Donald J. Waters, Senior Program OfficerSusan Feder, Program Officer

Administrative StaffVanessa Cogan, Grant Information Systems ManagerOscar De La Cruz, Manager of Human Resources & BenefitsPatricia J. Diaz, Associate General CounselRebecca Feit, Assistant General CounselMakeba Morgan Hill, Deputy to the President and Chief PlannerSusanne C. Pichler, Librarian

Finance and Investment StaffAbigail Archibald, Portfolio ManagerChristy Cicatello, Director of AccountingMichele M. Dinn, Senior Portfolio ManagerKaren Grieb Inal, Senior Portfolio ManagerThomas J. Sanders, Chief Financial OfficerAnn Siddiqui, Director of Investment AccountingMonica C. Spencer, Senior Portfolio Manager

Senior AdvisorsHilary BallonHans Rutimann

As of December 31, 2014*deceased

THEANDREWW. MELLON FOUNDATION, a not-for-profit corporationunder the laws of the State of New York, resulted from the consolidationon June 30, 1969 of the Old Dominion Foundation into the AvalonFoundation with the name of the Avalon Foundation being changed toThe Andrew W. Mellon Foundation. The Avalon Foundation had beenfounded in 1940 by Ailsa Mellon Bruce, Andrew W. Mellon’s daughter.The Old Dominion Foundation had been established in 1941 by PaulMellon, Andrew W. Mellon’s son.

The Foundation endeavors to strengthen, promote, and, wherenecessary, defend the contributions of the humanities and the arts tohuman flourishing and to the well-being of diverse and democraticsocieties. To this end, it supports exemplary institutions of higher educationand culture as they renew and provide access to an invaluable heritageof ambitious, path-breaking work. The Foundation makes grants in fivecore program areas: higher education and scholarship in the humanities;arts and cultural heritage; scholarly communications; diversity; andinternational higher education and strategic projects. Collaborativeplanning by the Foundation and its grantee institutions generally precedesthe giving of awards and is an integral part of grantmaking. Unsolicitedproposals are rarely supported. Prospective applicants are thereforeencouraged not to submit a full proposal at the outset but rather a letterof inquiry, setting forth the need, nature, and amount of any request, inaccordance with instructions available on the Foundation’s website, athttp://www.mellon.org. The Foundation does not make grants directly toindividuals or to primarily local organizations.

Within each of its core programs, the Foundation concentrates mostof its grantmaking in a few areas. Institutions and programs receivingsupport are often leaders in fields of Foundation activity, but they may alsobe promising newcomers, or in a position to demonstrate new ways ofovercoming obstacles so as to achieve program goals. The Foundation seeksto strengthen institutions’ core capacities rather than encourage ancillaryactivities, and it seeks to continue with programs long enough to achievemeaningful results.

The Foundation makes its grantmaking and particular areas ofemphasis within core programs known in a variety of ways. AnnualReports describe grantmaking activities and present complete lists ofrecent grants. The Foundation’s website describes the core programs in somedepth, publishes past Annual Reports, and furnishes other informationconcerning the Foundation’s history, evolution, and current approach tograntmaking.

PRESIDENT’S REPORT

“When the Past is Never Gone”

In his novel Requiem for a NunWilliam Faulkner observed,“The past is never dead. It is not even past.” That short, sweetphrase forces us to confront our own notions—or wishes—about howfar we have left behind the earlier periods in our history. In a recentopinion piece in the New York Times (“Slavery’s Enduring Resonance,”March 15, 2015), writer and social observer Edward Ball tells us thatthe spasmodic racial eruptions that seem to grab and throttle us occurbecause the ghosts of slavery have not been exorcised. Ball, a descen-dant of one of the wealthiest slave-owning families in South Carolina,and author of the highly acclaimed Slaves in the Family, a story ofhis family and the black people they enslaved, argues that the polic-ing of black bodies, and the legislated use of extralegal actions, hasits roots in an earlier America, where every black person was assumedto be some white person’s property and many whites presumed them-selves deputized to reconnect property and owner.

Many would disagree with Ball, arguing that slavery’s luminanceis faint, hinting that its evocation is somehow archaic and out of place.For many, slavery seems the ultimate example of a bygone era.More than once in my 30-year career as a university professor I hada student say, “Slavery, that was about then, and this is about now.”Or, “my ancestors came in the 20th century; they had nothing to dowith slavery. Don’t blame me.” My lectures about human cargoes,crop rotations, reciprocal relations, economic benefit, cultural adap-tation, and nearly 250 years of forced labor seemed incongruous tosome of those young people, who were growing up in a world inwhich everyone was encouraged to be like Mike—the late 20thcentury’s global icon, Michael Jordan.

Our distance from slavery has ostensibly increased significantlyin recent years, in spite of the four-year remembrance of the CivilWar in many regions. This is the digital age and the age of thehuman genome, when information flows fluidly and quickly. A“generation” is 18 months, the time it takes to introduce a new tech-nological innovation. This alteration of time and knowledge forcesus to ask: What is our continuing link to slavery? Is it simply under-stood as the grandparent of segregation—that is, slavery gave birth

7

to emancipation, emancipation gave way to segregation, with seg-regation finally producing desegregation? Perhaps more pointedly,is slavery no more than a museum piece, represented in static formthrough scholarship, at historical sites and in museums?

Most important, how do we make sense of slavery’s lingeringpresence in our contemporary lives? Is Ball correct that slaveryhaunts this post-industrial age, because like any apparition out oftime, it won’t willingly leave until it knows its time and place havecome and gone? Or does it linger because we don’t want it gone, notreally? We conjure it back into existence through our veneration ofthe Civil War, in our cultural productions and reproductions, in fam-ily names and histories, in monuments, memorials, and reenactments,and in the ways we mark difference. Is this why slavery’s ghost—andthe specter of race and difference—never seem to leave us?

One means of answering these and other questions is throughthe scholarship of the humanities and the arts, since we cannot exor-cise the past without confronting it fully. Take, for example, historianDavid Eltis’s digital project, Voyages: The Trans-Atlantic Slave TradeDatabase (http://www.slavevoyages.org), which documents the move-ment of millions of humans from the interior of the African continentto its western coasts, and then on to Brazil, the Caribbean, and NorthAmerica. With a historian’s eye for detail, aided by the computer’sability to store and sort vast amounts of information for almost imme-diate retrieval and analysis, Eltis helps us see the transatlantic slavetrade for what it was: a global affair predicated on the exchange ofhumans, goods, and commodities for the enrichment of a complexnetwork of actors over several centuries. Along the way Africannames, birthplaces, words, and kinship ties were pushed deeperand deeper into the creases of human memory. In their place, overthe course of several centuries, ideologies surfaced to justify slavery,religion was invoked to maintain slavery, laws evolved to regulate slav-ery, practices matured to sustain slavery, opponents appeared whoquestioned slavery, individuals were born who fled slavery, andstates did battle to perpetuate slavery. And in our own time, we,descendants of that earlier period, work hard to forget slavery, onlyto find ourselves stunned when the past refuses to stay gone.

But let’s step back further. The forced migration of more than25 million—when we combine the transatlantic trade and the trans-

8

Saharan system that sent another 13 million plus from Africa intothe Middle East, Persia, and India—was not the first great migra-tion of peoples away from the African continent. The most pivotalmove occurred more than 60,000 years ago, when our Africanancestors began a journey that altered human history. The decod-ing of the human genome confirms what physical anthropologistshave said for more than two generations: human life began on theAfrican continent. At some fundamental level we are all African. Or,stated differently, all humans share 99.9 percent of the same geneticmaterial. If that’s the case, much of human history has been about0.1 percent! In fact geneticists find greater detectable human vari-ation on the African continent than there is in the rest of the world,when they examine the telltale markers found on our Y chromosomesand mitochondrial DNA.

Yet the twists and turns documented by National Geographic andits partners in the Genographic Project reveal that our commonancestry is the beginning of the story rather than the end. Humanmovement across the globe went on for nearly 50,000 years, beforethe domestication of flora and fauna produced sedentary cultures(see map on next page). Along the way early Homo sapiens journeyednorth and east into Asia, entered Russia and headed southward intoEurope, interbred with Neanderthals, crossed frozen tundra toreach the Americas, and continued an existence of hunting and gath-ering. Over time, for protection and self-perpetuation, individualsaggregated into clan groupings, and communities started to form.Around 10,000 BCE the domestication of plants and animals gaverise to the first of several major civilizations in the Fertile Crescent,that half moon-like swath of land encompassing present day south-ern Iraq, Syria, Jordan, Lebanon, Israel, and northern Egypt.

That settlement, which developed architecture, laws, writing, for-mal religion, agriculture, and urbanization, produced the prototypesof empires, governments, and a form of collective storytelling andmythmaking. Gone was any hint of a long-ago African origin. In itsplace were new origin stories, each replete with socially and cultur-ally appropriate iconography. You were Sumerian, Assyrian, orBabylonian. Each rise and fall of clan groups, city-states, empires, andultimately nations produced new markers of inclusion and exclusion,new reasons for conquest and war, and greater certainty of difference.

9

The manufacture of difference aided and abetted the growth,development, and duration of the slave trade, and the Atlantic slavesystem. The need to understand important stories such as this inspiresthe work of The Andrew W. Mellon Foundation. Last fall we releaseda mission statement explaining our commitments: “The Foundationendeavors to strengthen, promote, and, where necessary, defend thecontributions of the humanities and the arts to human flourishing andto the well-being of diverse and democratic societies. To this end, wesupport exemplary institutions of higher education and culture as theyrenew and provide access to an invaluable heritage of ambitious,path-breaking work.” In crafting our mission statement, the Board andstaff reasoned that study of how humans have chronicled, recorded,analyzed, and transmitted our understanding of our collective historymust remain at the center of our work.

The themes of continuity and change frame the work plan forthe next period in our history. For the Mellon Foundation thismeans remaining alert to the need to blend short- and long-term per-spectives. Much is written of the significance of social impact orstrategic philanthropy, marked by relatively immediate, measurablereturns on investment. Although there is virtue in such an approach,we temper our enthusiasm for short-term investment with philan-thropic investment, which requires a patient, steady partnership toachieve lasting advances. Last year, for example, we celebrated the25th anniversary of the Mellon Mays Undergraduate Fellowship(MMUF) program. The program was conceived as a way of increas-ing the numbers of underrepresented minority students who wouldgo on to earn doctorates and diversify the ranks of the professoriatein the United States and, later, in South Africa. The success of theprogram is related to its longevity. Had we abandoned the effort afterfive, ten, or even fifteen years, the cumulative effect of partnering with40-plus colleges and universities at the undergraduate level would haveseemed wanting, as we can see from Graph 1. Even six years afterits creation in 1989, the program had just two doctoral completions;a decade in there were only 26 doctorates earned. Twenty yearsafter its creation, MMUF boasted 344 doctorates earned, a massiveincrease but still hardly sufficient to “diversify the professoriate.” By2014, however, the number of PhDs had increased to 571, withanother 600-700 students in the pipeline. Perhaps most importantly,

11

12

the number of doctorates earned is expected to double within justseven or eight years. These numbers exclude those who entered theprogram as undergraduates but never went into PhD programs orwent to professional school instead.

Graph 1Actual and Projected Cumulative

MMUF PhD Completions

Prepared by John Nugent (4/30/2015)

As we turn the page on the next chapter of the Foundation’s his-tory, informed by experience, we know some changes requirelong-term investment. As a result we remain ever mindful of boththe immense obligation that comes with thoughtful philanthropy andthe limits of any one foundation to effect change without the ableparticipation of willing partners. We decided to emphasize continuitybecause we value the importance of the humanities, the arts, andhigher education. We will grow our staff size somewhat to better max-imize the work ahead, but we will also continue to rely on re-grantinginstitutions, social and cultural nonprofits, and colleges and uni-versities to advance the work of strengthening, promoting, and onoccasion defending the humanities, arts, and higher education.

Even as we make this pledge, you will also see some changes.We have, for example, deemed it important to support a widercross-section of the liberal arts sector than has been our practiceheretofore. This requires that we come to know a far greater num-ber than the approximately 100 schools that have historically been

2 3 10 18 26 43 69 102 122 149 173211

251 285344

387436

491530

571

0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

2018

2019

2020

2021

2022

2023

2024

2025

2026

2027

2028

2029

2030

Approx. point at which fellows fromthe 8 ins�tu�ons joining in 2007 begin

comple�ng

Approx. point at which fellows from the 5 ins�tu�ons joining in 2014 begin

comple�ng

ESTIMATED TOTALCOMPLETIONS BY 2030:

High es�mate: 1,695Medium es�mate: 1,632

Low es�mate: 1,562

13

in our orbit of engagement. Evidence of this change can be seen ingrants we have made beginning in the fall of 2014. Over the courseof the next few years, we hope to work with an expanding numberof liberal arts colleges in the United States, as a component of thework in the new program area Higher Education and Scholarshipin the Humanities, or HESH.

Our interpretation of continuity and change, which last year’s pres-ident’s essay adumbrated, is more fully captured on the Foundation’snew website, under the heading: Strategic Plan—Executive Summary.That plan called for us to end some programs, continue others,enhance a few, and where advisable launch completely new activities.In the pages that follow in this year’s annual report you will get a fla-vor for how we hope to accomplish these two objectives at theprogrammatic level. There is a grant, for example, to the MetropolitanMuseum of Art that forms part of an ongoing initiative to develop acadre of conservators trained to care for Chinese paintings on scrolls,albums, and wood panels. And one to Brown University and the RhodeIsland School of Art and Design to facilitate the creation of a data-base, seminars, workshops, and other efforts to better use collectionsof Native American objects and images. There, too, is the grant toPlaywrights’ Center, Inc., in Minneapolis, to give theater artists thetime and resources to experiment, in a low-risk environment, all withthe goal of improving the art created. Each of these examples pointsto continued or enhanced efforts to partner with colleagues in the arts,humanities, and higher education.

At the same time, some of the grants highlighted in subse-quent pages signal our orientation toward change. Following asmaller officer’s grant to the American Historical Association (AHA),the Foundation awarded a larger multiyear grant to the AHA to workwith individual history departments to examine the academic jobmarket for historians, educate faculty and students about thosetrends, and explore non-academic career options for PhD seekersin history. An even more noteworthy departure from the past wasa grant to Purdue University to address so-called “wicked problems”or “Grand Challenges.” The Foundation’s new strategic plan callson scholars in the humanities and arts to add their perspectives andcritical insights to the task of tackling such challenges as inequality,migration, urbanization, water scarcity, and human conflict. The

Purdue grant enables scholars in fields such as cultural anthropol-ogy, history, philosophy, and religion to partner with colleagues inthe biological and physical sciences and engineering, as well aslibrarians. The net result would be scholarly papers with policyimplications. While the Foundation has previously worked with theDetroit Institute of Arts (DIA), the Foundation’s role in the so-called“Grand Bargain” to secure Detroit’s path out of bankruptcy requireda new approach. To protect the artist treasures acquired in the pub-lic’s interest over decades, we teamed with the DIA by providing asizable grant, which helped it raise its contribution to the bindingfinancial agreement. A final example is a grant to Case WesternReserve University to partner with Cuyahoga Community College.This is the first time that the Foundation has supported a collabo-ration between a research university and a two-year institution.But, given the changing demographics of the United States, the callfor more Americans to enter college, and disputes over cost and com-petition, such a partnership may serve as a prototype for a new areaof funding.

One grant, however, stands out because it brings us back to thepresence of the past. In June of last year we made a grant to WashingtonUniversity in St. Louis to study St. Louis as a segregated city. A partof our “Architecture, Urbanism, and the Humanities” initiative, thegrant proposed an interdisciplinary exploration of segregation inurban life that would focus deep scholarly attention through summerseminars, an oral history, and a range of publications. The grantcame before the shooting of Michael Brown and the continuing criesabout whose lives matter. There is no way to imagine the principalinvestigators on this grant ignoring events in Ferguson, Missouri, andthe tremendous power of social media to tell a story ignored in theearly hours by conventional news outlets. They may find themselvesengaging the story shared by Attorney General Eric Holder about hisown encounters with a law enforcement community that at timesviewed him as a threat. Their work may invite questions about migra-tion, settlement, and community; they may ask questions aboutidentity, security, and opportunity. For them, there will, however, beno escaping the need to probe how difference shapes life opportuni-ties, policies, and practices in the urban setting. When they do, thesegrantees will run head on into the ghosts of our shared racial history.

14

Let us hope the project leaders and their colleagues confront thoseghosts. Let us hope the product is a new understanding that helps usfree ourselves of the tragic consequences of the recurring focus on the1/10th of 1 percent of human history.

Earl LewisJune 2015

* * *

15

Higher Education and Scholarship in the Humanities

In 2014, the Foundation began to consolidate its formerlyseparate programs for Liberal Arts Colleges (LAC) and ResearchUniversities and Scholarship in the Humanities (RUSH) into asingle program for Higher Education and Scholarship in theHumanities (HESH), led by Vice Presidents Philip E. Lewis andMariët Westermann, and Senior Program Officer Eugene M. Tobin.Historically, most of the Foundation’s support of undergraduateeducation had taken the form of grants to liberal arts colleges, whilethe RUSH program focused almost exclusively on doctoral educationand faculty research. The integration of the Foundation’s work withcolleges, universities, and institutes of advanced study reflects aconviction that the liberal arts and graduate programs in the humanitiesare enhanced by a cohesive set of relationships between undergraduateand doctoral education, and that the best higher education stands ina foundational relationship to research, whether in colleges oruniversities. The joint program will facilitate the Foundation’s ongoingencouragement of collaborations among institutions of highereducation for intellectual and pedagogic ends that may in the long runalso bring financial relief. The HESH program will at the same timecontinue to support and defend the unique qualities of Americanresearch universities and liberal arts colleges, and the distinctiveplace of the humanities and arts within them.

Although the RUSH and LAC programs maintained separategrantmaking activities for most of this transitional year, certaingrants supported mutually beneficial partnerships between collegesand research universities, and some grants in the RUSH programprovided support for the integration of undergraduate education intothe research mission of universities. Moreover, an increased num-ber of grants supported programs that address challenges across thesystem of higher education, such as training larger cohorts of fac-ulty and students in the digital humanities, preparing doctoralstudents for broad undergraduate teaching, or engaging universitiesand colleges in the public humanities and partnerships with localinstitutions. The high potential of integrative work across the systemof higher education is exemplified by a joint initiative of CaseWestern Reserve University and Cuyahoga Community College tostrengthen existing relationships between their humanities facultiesand to develop a pipeline of transfers of community college students

16

into humanities majors at Case. This initiative recognizes the invalu-able and growing role of the two-year college system as a providerof genuine educational opportunity.

Research Universities and Scholarship in the Humanities

Mr. Lewis and Ms. Westermann continued to lead the pro-gram in 2014. Ms. Westermann was responsible for grants toAmerican universities and to institutes for advanced study, as wellas for collaborations between RUSH and Mellon programs otherthan LAC, particularly in Diversity and in Art History, Conservation,and Museums. Mr. Lewis managed the Mellon-based competi-tions for Sawyer seminars and New Directions fellowships, grantsto humanities centers, arrangements with large regranting organi-zations, and international partnerships.

Inquiry in the humanities by individual scholars and collabora-tive teams, from graduate students to postdoctoral fellows and fromearly career faculty to their most senior colleagues, remains a coreHESH commitment. The Foundation makes regular, large grants tothe American Council of Learned Societies (ACLS) and the SocialScience Research Council (SSRC) to enable them to administerMellon-funded fellowship programs for graduate students, recent PhDrecipients, and scholars in the humanities and related social sci-ences. In 2014, the ACLS received a $5 million grant for itslongstanding dissertation completion fellowships and a final renewalgrant for the Charles Ryskamp fellowship program for untenured fac-ulty. The Frederick Burkhardt residential fellowships for recentlytenured faculty were also renewed, with the understanding thatstarting in 2015 the resources dedicated to the two programs for earlycareer faculty will be amalgamated in a larger and reconceivedBurkhardt program. The SSRC received renewed support for itsInternational Dissertation Research Fellowship program, which haslong aimed to support emerging scholars in research that advancesknowledge about cultures and societies outside the US. In the wakeof the retrenchment in 2011 of Title VI support for international edu-cation and research, the SSRC program has become even morecritical to the nation’s capacity to generate such knowledge. Otherrenewed fellowships included the dissertation completion programadministered by the Council for European Studies, which has hadsuccess mentoring recipients to timely completion; the fellowship pro-

17

gram for doctoral research with original sources, administered by theCouncil on Library and Information Resources; and doctoral fel-lowships in core humanities disciplines at New York University andat Rutgers, The State University of New Jersey—New Brunswick.

RUSH renewed its annual investment in two ongoing programsfor which groups of distinguished scholars meet at the Foundationto select the award recipients. The New Directions program providesfunding to scholars who are six to ten years beyond completion ofthe doctorate and wish to prepare themselves for new research pro-jects by pursuing formal study in fields other than those in which theyhold their degrees. A total of $2.77 million was awarded to the 12scholars whose projects were selected, representing a wide range ofliberal arts colleges, small and large universities, and public and pri-vate institutions. The Sawyer Seminar program named after formerMellon president John Sawyer, which enables interdisciplinarygroups of faculty from within and outside universities to conductyearlong inquiries into the comparative study of cultures, madeawards of $175,000 each to ten institutions: Brown, Princeton,Rice, and Vanderbilt Universities, the Graduate School and UniversityCenter of the City University of New York, and the Universities ofToronto, California at Davis and at Riverside, Massachusetts atAmherst, and Wisconsin at Madison.

RUSH continued its pattern of increasing support for inter-disciplinary centers, both within the humanities and between thehumanities and the sciences and social sciences. An award toColumbia University supports its recent establishment of a Centerfor Science and Society, led by a historian of science and art, thatwill serve as a hub for research clusters of humanists, social scien-tists, and scientists who study problems that require multidisciplinaryresearch and perspectives. The vital role of humanities centers in stag-ing research and conversations on critical issues and big questionsoutside and between departmental structures is exemplified by theSimpson Center at the University of Washington, which received agrant to reimagine PhD education in the humanities for the 21st cen-tury. The John Hope Franklin Institute for the Humanities at DukeUniversity pursued a similarly innovative project on emerginghumanities fields and questions. The Illinois Program for Researchin the Humanities at the University of Illinois at Urbana-Champaigntook the lead in developing research clusters in the biological, envi-ronmental, and legal humanities.

18

Humanities centers have become nimble collaborators throughthe international Consortium of Humanities Centers and Institutesand in other formations. One of the most successful such collabo-rations is the Central New York Humanities Corridor, launched withMellon funds in 2006, that links humanities centers and faculty atCornell and Syracuse Universities, the University of Rochester,and the New York Six Liberal Arts Consortium representing Colgateand St. Lawrence Universities and Hamilton, Hobart and WilliamSmith, Skidmore, and Union Colleges. In 2014, the three foundinguniversities each received a challenge grant to endow core Corridoractivities. Other grants in support of humanities centers went to theNational Humanities Center, the Center for the Humanities at theUniversity of Wisconsin at Madison, the Institute for the Arts andHumanities at Pennsylvania State University, The Oxford ResearchCentre in the Humanities, the Townsend Center for the Humanitiesat the University of California at Berkeley, and the WhitneyHumanities Center at Yale University.

Responding to lively interest on the part of institutions of highereducation in expanding the resonance of the humanities in theworld, RUSH expanded and diversified its support of the publichumanities, understood as a wide range of activity through whichhumanities scholars make their work accessible to broad audiences,engage non-specialist members of the public in the conduct of theirwork, and engage in discourse about matters of public importanceand the common good. RUSH staff made several unusual grants toallow for experimentation with programs that have the potential togenerate broader understanding and support of the humanities.The National History Center in Washington, DC expanded its pro-vision of nonpartisan briefings to Congress on topics that requiredeep historical understanding. The Pulitzer Prize Board, housed atColumbia University, was awarded $1 million to support its upcom-ing centennial year programming, which will feature communityevents in literature, theater, and journalism around the country,staged in collaboration with state humanities councils and other orga-nizations. The Greater Washington Educational TelecommunicationsAssociation (WETA) received support to complete two public tele-vision series on African American and African history. In recent years,museums and other cultural organizations have begun to asserttheir potential for serving as venues where serious scholarship canbe presented to the public and put forth for debate. In a new depar-

19

ture, RUSH funded programs that integrate research and public pro-gramming at several such organizations, including the Museum ofthe City of New York, the National September 11 Memorial &Museum, and the New-York Historical Society, which is establish-ing a Center for Women’s History.

Other public humanities grants focused squarely on the publicvalue of university research. The ACLS received $6.53 million torenew its Public Fellows program, launched in 2011, which placesrecent PhDs in the humanities in postdoctoral positions in non-aca-demic, not-for-profit or governmental organizations. The humanitiescenters at universities are actively involved in training graduate stu-dents to work in their communities, and their public programminghas become increasingly vigorous. The Foundation supported suchinitiatives at the Center for the Humanities at the Graduate Schoolof the City University of New York and, through the coordinatingoffices of the New York Council for the Humanities, at varioushumanities centers in other New York State institutions.

All of these public humanities initiatives open perspectives forhumanities PhDs into satisfying and meaningful careers outside theacademy. Several professional organizations and universities havebeen closely focused on these potentials in recent years, given thatthe availability of tenure-track academic positions in the humanitieshas long lagged behind the number of PhDs delivered to the mar-ket each year. The American Historical Association received supportfor a series of pilot projects that will help graduate students preparebetter for careers in their fields, whether within the academy or ina range of non-academic positions. The Modern LanguageAssociation is pursuing an initiative that will provide similar train-ing to PhD students within a broader initiative designed to renewdoctoral curricula. A grant to the University of Michigan is enablingthe Rackham Graduate School to expand its programs that enabledoctoral students to experiment with humanities-based work out-side the academy.

In our age of mass migration, global connectivity, and rapiddemographic change, few challenges that only the humanities canaddress would seem more pressing than the capacity to under-stand, speak, and value a language other than one’s own. Recognizingthat the issue has not captured the public or congressional imagi-nation, the American Council on the Teaching of Foreign Languageslaunched a campaign to promote non-native language learning by

20

students in the US. To alleviate pressure on less commonly learnedlanguages, Columbia University launched the second phase of a col-laboration with Cornell and Yale Universities to deliver instructionacross the campuses through online, interactive video technology andoccasional in-person class meetings.

RUSH grantmaking for the year included approximately tengrants that supported innovative academic programs and projectsin particular universities and research institutes, including inter-disciplinary faculty hiring at Tufts University, visual culturecurriculum at the University of Pittsburgh in partnership with localmuseums, and curriculum and research initiatives at the Universitiesof Chicago and California at Davis and at Los Angeles. CarnegieMellon University and the University of California at Berkeleyreceived awards to strengthen and broaden faculty and studentparticipation in research and teaching in the digital humanities, andthereby joined a nascent Foundation initiative to bring the insights,questions, and capacities of digital humanities expertise into main-stream curricula and research programs. Under the Foundation’sinitiative in Architecture, Urbanism, and the Humanities, HarvardUniversity’s research center at Dumbarton Oaks received supportfor a program focused on urban landscape studies. WashingtonUniversity in St. Louis also joined the Foundation’s initiative witha project to study urban segregation in the history of St. Louis andits new formations around the world. Just months after the grant wasmade, events in Ferguson, New York, and Cleveland provided tren-chant reminders of the devastating legacy of segregation and of theurgency of the historical, ethnographic, and public work thatWashington University is pursuing.

Liberal Arts Colleges

The Liberal Arts Colleges sector of the HESH program, led byMr. Lewis and Mr. Tobin, makes multiyear grants to liberal arts col-leges and regional consortia in support of undergraduate educationin the arts, humanities, and humanities-centered social sciences. In2014, LAC continued to support institutional renewal, undergradu-ate research, the integration of digital pedagogies into teaching andscholarship, faculty and curricular diversity, and general education.Reflecting the pressures associated with access, completion, cost,

21

diversity, and learning outcomes, HESH grantmaking encouraged col-laborations between liberal arts colleges and research universities.

Colleges and universities have a vested interest in undertakingexperiments that determine whether technology can help reverse thelong-term trend to increase costs and/or improve learning out-comes. Though many colleges lack the economies of scale, criticalmass of engaged scholars, and infrastructure to collect, curate, andstore large data sets, these institutions have an interest in makingteaching and scholarship more collaborative, interdisciplinary, andvisible to the public. In 2014, the Foundation made a number ofgrants that expanded college faculty members’ familiarity withblended learning, digital research, and virtual classrooms. One of themajor challenges facing residential liberal arts colleges is how to inte-grate technology into “place-based” learning. A grant to BarnardCollege enabled faculty to collaborate with curators, archivists, andcollection specialists in demonstrating how digital technology com-plements the liberal arts model. Students and faculty at Lake ForestCollege, in collaboration with cultural and educational organizationsin Chicago, are using digital tools to preserve the city’s cultural andarchitectural history. Lehigh University faculty and students receivedfunds to use digital pedagogies to tell the story of Bethlehem,Pennsylvania’s postindustrial transition through a variety of docu-mentary and public history projects.

The literary scholar Louis Menand once compared the designand adoption of a general education curriculum to a play by SamuelBeckett but acknowledged the comparison was inapt becauseBeckett’s plays are short. “General education” combines liberaleducation’s belief in knowledge for self-development with an idealof learning that eschews specialization, promotes personal andmoral growth, and introduces students to methods of inquiry. Today,many observers believe that general education has lost much of itsintellectual energy and rationale. There is still a need for courses onlarge themes, fundamental questions, and important bodies ofknowledge that prepare students to lead reflective, purposeful lives.A grant to the College of William and Mary enabled faculty toincorporate a system of “College Courses” that resist specializationand focus on the ways in which disciplines contribute to a broad lib-eral arts education.

22

The classic market-driven model assumes that colleges and uni-versities compete for students, faculty, gifts, grants, and visibilityeven when they agree to cooperate in other, less contentious zones.The Foundation starts with the assumption that change is most likelyto occur through alliances that serve multiple interests. Collaborationrequires strong presidential leadership and must be supported by fac-ulty and staff across organizations. In 2014, HESH helped supportthe formation of the Pennsylvania Consortium for the Liberal Arts,a cohort of 11 institutions that embraces cost savings in academic andadministrative areas as a central component of its mission.Internationalizing the curriculum, offering less commonly taughtlanguages, and dealing with under-enrolled courses are familiar chal-lenges for liberal arts colleges. A grant to the Five Colleges of Ohio,in collaboration with the Center for Languages, Literatures andCultures at Ohio State University, enabled faculty to use online andtraditional classroom instruction to stabilize course offerings, buildfaculty capacity, and model consortium-wide courses in less commonlytaught languages. A grant to the Claremont University Consortiumencouraged faculty from the five undergraduate colleges to continuetheir work in the digital humanities, with an emphasis on student-fac-ulty collaborative research. In an unusual partnership between aliberal arts college and a public research university, Grinnell Collegeand the University of Iowa developed an ambitious series of cross-insti-tutional collaborations that incorporate the digital liberal arts into theirrespective curricula. These inquiry-driven initiatives enabled faculty,undergraduates, graduate students, technologists, and librarians todevelop digital research and pedagogical innovation.

The Foundation believes that the future viability of the liberalarts college sector requires a healthy ecosystem whose institutions col-lectively maintain a tangible commitment to liberal education. Theshrinking demand for a liberal arts education has forced manyregional institutions to expand vocational and pre-professional pro-grams. Toward the conclusion of 2014, HESH initiated a pilotprogram of modest grants to assist approximately 50 less-endowedliberal arts colleges in planning their intellectual and financial futures.

Arts and Cultural Heritage

In the fall of 2014, the Foundation’s program areas in PerformingArts and Art History, Conservation, and Museums joined forces

23

into a single program for Arts and Cultural Heritage led byMs. Westermann, Susan Feder, and Alison Gilchrest. The newly con-solidated program superficially resembles an earlier Foundationprogram in the arts, which ran from 1969 to 1996 and was then splitinto two programs, one serving the performing arts and the other thework of art museums and conservation initiatives. Although differencesbetween performing arts organizations and museums were fairlysharp at the time, these distinctions no longer operate with the sameforce two decades later. Boundaries between institutional types,media, disciplines, and audiences have become fuzzier and moreporous. Performing and visual arts organizations face similar challengespropelled by rapid demographic and technological change as well asa difficult fundraising landscape. The professional development pro-grams of National Arts Strategies, Inc., for example, which receiveda renewed grant in 2014, serve museum directors as well as performingarts executives. To assist organizations in converting their challengesinto opportunities, the Arts and Cultural Heritage program will sup-port innovative scholarship and practice at the intersection of theperforming and visual arts, but also continue to make grants specificto art museums and performing arts organizations.

The consolidation of the Arts and Cultural Heritage programmakes explicit two theses that motivate the Foundation’s grant-making in the arts. First, the arts constitute a fertile field of humaninquiry, knowledge, and expression that is distinct from other formsof human thought and production, and that serves as a sharedhuman resource for cultural renewal as well as historical under-standing. Second, a dense matrix of cultural organizations ensuresthat the arts can flourish and that great creative accomplishmentsremain available to future generations. These museums and per-forming arts organizations have cognate missions and challenges. Inrecognition of these realities, the Arts and Cultural Heritage programreaffirmed its commitment to nurturing exceptional creative accom-plishment, scholarship, and conservation practices, and to promotinga diverse and sustainable ecosystem for the arts.

The joint Arts and Cultural Heritage program will pursuestrategic goals that were more difficult to entertain when theFoundation’s arts programs were separate. The program will morefrequently support work in the zone where performance, new media,installation art, and community participation meet, sometimes in newtypes of spaces that are neither traditional museums nor familiar per-

24

forming arts venues. Program staff will work actively with organi-zations that are rethinking what an “artist,” a “curator,” an“audience,” a “visitor,” or a “conservator” might be today, and howthese actors can best work with their communities rather thanputting work out for them. The program will continue to explore howacademic and cultural institutions can collaborate and learn fromeach other’s practices. A set of initiatives will seek to mitigate a rangeof conditions that hamper artists in the pursuit of their work or poseserious risks to the preservation of art and cultural heritage.

In 2014, the joint program began to make grants in several ofthese areas of strategic priority. To strengthen contemporary per-formance practice as well as scholarship of performance, grantswere awarded to leading organizations in these areas, including theMassachusetts Museum of Contemporary Art, Performa, Inc., thePortland Institute for Contemporary Art, the Center for the Art ofPerformance at the University of California at Los Angeles, and theWhitney Museum of American Art.

The program’s commitment to reinforcing the infrastructure forart and artists at risk entailed exploration of new initiatives. TheSmithsonian Institution, which has developed deep expertise insecuring and restoring art and cultural heritage after catastrophicenvironmental events, received a grant to advance planning for a per-manent Cultural Crisis Recovery Center. The Nonprofit FinanceFund was awarded a planning grant for a financial health initiativethat would serve small to midsized performing arts organizations andconservation centers. The program also began to consider new ini-tiatives in support of the needs of individual artists. A grant to theActors’ Fund of America supported expanded health insuranceenrollment services for artists. The Institute of InternationalEducation received an exploratory grant to study the availability ofsafe haven programs for the many artists around the world who findthemselves at risk of persecution or physical harm. Depending onthe outcomes of these planning and pilot grants, the program maysupport longer-term initiatives in years to come.

In 2014, the Detroit Institute of Arts (DIA) faced the most seri-ous threat to an arts organization in the United States. In thedisputes that arose in the bankruptcy negotiations between the Cityof Detroit and its creditors, the DIA was almost forced to sell its mostimportant treasures, which the city had acquired for it before theSecond World War. The sale of these works would have irreparably

25

damaged the institution, and with it the idea of art as a publicresource that is both timeless and of contemporary value to the vital-ity of cities. An innovative coalition of Michigan-based foundationsand corporations, national philanthropies, private donors, and theState of Michigan put together a “Grand Bargain” that would mit-igate the losses of Detroit’s pensioners in return for the DIA’spermanent ownership of all of its assets. Under specific matchingconditions, the Foundation committed $10 million to the arrange-ment, which demonstrated that with collective will, creativity, andleadership, public, private, and nonprofit funders can come togetherin support of the arts and vulnerable communities. The program’srecognition of art as a resource of public interest and significancealso spurred a grant to the Greater Washington EducationalTelecommunications Association (WETA) in support of the expan-sion of arts and culture programming on PBS NewsHour’s broadcastand website.

Art History, Conservation, and Museums

Grantmaking for Art History, Conservation, and Museums(AHCM) continued to be overseen by Ms. Westermann andMs. Gilchrest. To help shape and sustain art history and conserva-tion as dynamic and rigorous disciplines, AHCM grants support artmuseums, conservation centers, research institutes, graduate pro-grams, and related institutions, with an emphasis on strengtheningtraining, collaboration, diversity, and knowledge networks. Duringthis transitional year, grantmaking focused in equal measures onwinding down long-standing commitments, sustaining or aug-menting successful programs, and launching new activity inalignment with the Foundation’s strategic directions.

Through a body of grants made under the rubric of art con-servation, the Foundation reaffirmed its commitment to supportingthe role of conservators in the preservation and study of the culturalrecord. Grantmaking focused on multiple dimensions of the pro-fessional pipeline, including training, postgraduate fellowships,midcareer positions, and professional development through nationalor international collaboration. Significant challenge grants weremade to Buffalo State College, New York University, and theUniversity of Delaware to help endow student stipends in theirgraduate programs in art conservation. The Fine Arts Museums of

26

San Francisco received support to augment staff and training capac-ity in the conservation of textiles, objects, and works on paper. Aspart of an initiative to strengthen the pipeline of conservators whospecialize in the care and treatment of Chinese paintings, theMetropolitan Museum of Art received a challenge grant to estab-lish an endowed position. LYRASIS and the University of Delawarewere awarded final grants for collaborative initiatives in photo-graphic preservation.

A challenge grant to Yale University capped off an extended com-mitment of particular significance to the Foundation. In 1950, PaulMellon established the Art Conservation Research Center (ACRC)at the Mellon Institute (now Carnegie Mellon University [CMU])as the original scientific arm of the National Gallery of Art. For38 years, the Foundation has been the primary funder of this lab-oratory’s staff and research operations. Following ACRC’s move fromCMU to Yale in 2012, the challenge grant is intended to help securethe future of the center’s field-leading research for the long term.

A challenging digital paradox for museums is the contrastbetween the ease of gathering copious archival data in a collectionmanagement system and the difficulties of sharing that material withother institutions that can benefit from the research potential con-tained in these archives. Renewal grants to the Rembrandt Databaseat the Rijksbureau voor Kunsthistorische Documentatie,ResearchSpace at the British Museum, and the ConservationSpaceproject, coordinated by the National Gallery of Art, will continueto support collaborative, online data resources for the aggregation,sharing, and study of cultural heritage data by art historians, con-servators, and scientists.

AHCM continued to explore innovative models for document-ing and preserving contemporary art, and for enhancing the study andpublic understanding of it. The International Network for theConservation of Contemporary Art – North America and the NewMuseum of Contemporary Art both received renewed support for pro-grams aimed at expanding the documentary basis for contemporaryart. The Chinati Foundation received a grant for a master planningprocess that will develop an integrated approach to the preservationof the land, buildings, and art of its Marfa, Texas campus.

Since 2012, the Foundation has been engaged in an initiativeto support art history graduate programs that wish to strengthen theplace of object-based study and curatorial practice in their curric-

27

ula, usually in collaboration with capacious museums. Such grantswere made this year to Northwestern University, the Art Instituteof Chicago, and the University of Chicago for a collaborative initiativein object-driven inquiry. A pair of renewal grants was made jointlyto Emory University and the High Museum for their Atlanta-basedcollaboration. In October, the program convened representatives fromall 25 participating institutions in an “all projects” meeting at theCleveland Museum of Art to assess progress to date, exchangeinformation and ideas, and strengthen the collaborative cohort.

Duke University received a final round of support under theFoundation’s long-running College and University Art Museums ini-tiative, for programs designed to generate academic collaborationsamong curators, faculty, and students around museum collectionsand exhibitions, including the development of new curricula acrossthe disciplines. The Gund Gallery at Kenyon College, BrandeisUniversity, and the University of Michigan received grants under asimilar rubric.

Diversification of the curatorial pipeline remains of strong con-cern to the program. Following the launch of the nationwideUndergraduate Curatorial Fellowship program in 2013, grants toSpelman College and the Studio Museum in Harlem focused on localefforts to amplify existing resources in institutions that have lead-ership committed to institutional diversity and inclusion. TheSmithsonian’s National Museum of the American Indian receiveda planning grant to explore a museum-based training program forscholars in Native American art, building on that museum’s exten-sive resources and networks.

In 2014, AHCM grants also initiated exploration of the role ofmuseums as engines for the public humanities. Exploratory grantsto the American Folk Art Museum and the Victoria and AlbertMuseum supported planning processes for future initiatives. Theaward to Khan Academy for the expansion and diversification of arthistorical content is indicative of the Foundation’s growing interestin broadening access to high-quality scholarly information andteaching materials through innovative digital platforms.

Performing Arts

Under the leadership of Ms. Feder and with the assistance ofKatharine Steger, grantmaking in the performing arts aimed to

28

foster a dynamic, diverse, and sustainable ecosystem for the prac-tice, study, and reception of the arts. Grants encouraged adaptivepractices in a changing environment as well as diverse and inclusivestrategies in all aspects of artistic and organizational activity. Workingwith leading producing and presenting organizations, institutions ofhigher education, and service organizations, the Foundation madegrants that aimed to bolster the position of artists in all stages ofdevelopment and presentation of new work, preserve significantrepertoire, build knowledge about the sector, and strengthen exem-plary institutions that are advancing these efforts.

Consistent with the Foundation’s new strategic plan, the pro-gram began to shift the classification of its performing arts awardsaway from the grant’s field or discipline and toward its purpose:Artists and New Work, Adaptive Organizational Practices, PublicValue of the Arts, and Diversity and Inclusion. While grants pre-dominantly continued to support orchestras, opera companies,theaters, contemporary dance, and university presenting organiza-tions, many awards funded interdisciplinary work or broaderorganizational initiatives.

As new work is fundamental to the ongoing revitalization of thearts, performing arts grants continued to emphasize the develop-mental aspects of creation, through support for institutions that placea high value on processes led by composers, choreographers, play-wrights, and ensembles creating devised work. Additionally, grantssupported organizations that engage in collaborations and coalitionbuilding in order to improve the quality of new work and to createnetworks for its dissemination. In 2014, the Foundation continuedits support for the National Theater Project, which aids in both cre-ation and touring and is administered by the New EnglandFoundation for the Performing Arts; renewed its rehearsal space sub-sidy program benefitting choreographers and theater-makersworking at 14 New York City-based organizations; and renewed agrant to Creative Capital for a regranting program for experimen-tal artists developing new work. Grants also provided productionsupport to several organizations with commitments to producingeither ambitious new work or distinctive presentations of unusualrepertoire, including the Minnesota Opera, Signature Theatre, andthe San Francisco Symphony. A renewed grant to the InternationalContemporary Ensemble, and grants to Music Forward

29

(The Knights), Alarm Will Sound, and A Far Cry, encouragedthese large, artist-led ensembles, which have a strong focus on newmusic, in their efforts to model innovative practices for orchestras.

Several grants provided continuity in other ways. Maintaining itsselect support for programs advancing international exchange, theFoundation renewed grants to Theatre Communications Group forits Global Connections initiative and to the MidAtlantic ArtsFoundation for the US Artists International touring program. Finalgrants in support of ArtPlace America, a public-private partnershippromoting the role of art and artists in communities, went to theNonprofit Finance Fund as well as Rockefeller Philanthropy forArtPlace America. Chamber Music America received a final grant forits Classical Commissioning Program. Consistent with recent expan-sion of support for the performing arts at colleges and universities,the Foundation made a final round of grants for the presentation ofambitious classical music events; future grantmaking in this area isexpected to take a broader, multidisciplinary approach.

For exemplary efforts to advance the public value of the artsthrough distinctive, socially relevant work, often in collaboration withlocal communities, grants were awarded to the New York ShakespeareFestival, Houston Grand Opera, and the Kennedy Center (for a newnational festival to celebrate the range and potential of orchestralactivity both in the concert hall and in the community). BardCollege’s Longy School of Music received funds to help underwritea study of the efficacy of US-based El Sistema-inspired programssponsored by orchestras.

Performing arts grants also continued to support the explorationand planning of initiatives that may help improve equity and inclu-sion in the development and presentation of new work, provideprofessional development opportunities, and promote communityengagement and access. Awards were made to several leading orga-nizations that had not received Foundation funding in the past.Alternate ROOTS received a grant to provide professional andproject development grants for southern artists and to further socialjustice in their communities. A grant to the National Association ofLatino Arts and Culture supported the pilot round of the AdvancedIntercultural Leadership Institute, which is being developed in col-laboration with partner organizations and will be tailored tomidcareer arts professionals who have been underrepresented in pro-fessional development programs. The Latino Theater Company

30

received funds to create a fellowship program for aspiring directorsat its Encuentro, a month-long festival of Latino theater. Additionalgrants supported diversity work in several organizations: EmersonCollege, which received planning funds to help the Latino TheaterCommons develop Café Onda; the Orpheus Chamber Orchestra forNext Generation Orpheus, an initiative that will provide a morediverse cohort of musicians with opportunities to join the orches-tra; and the Detroit Symphony Orchestra, for communityengagement and partnership activities, as well as for its AfricanAmerican Fellowship Program. A grant to the Sphinx Organizationsupported a study of the obstacles to racial and cultural diversity inthe music profession. Finally, a new grant to the regional arts orga-nization South Arts, Inc., to support a dance touring initiative in theregion, expanded the geographic range of the Foundation’s grant-making in the performing arts.

Scholarly Communications

In 2014, the Scholarly Communications (SC) program was ledby Donald J. Waters and Helen Cullyer, who began implementing theFoundation’s new strategic plan. Under the plan, SC is maintainingthree major areas of emphasis: scholarly publishing, preservation, andaccess and library services. However, the development of the strate-gic plan marked an occasion for staff to refocus priorities within andacross these three core areas. For example, the program dropped“information technology” from its name, not for lack of interest, butrather in recognition that technology is integral to, and not separatefrom, these areas of scholarly communications.

SC seeks to assist libraries, presses, scholarly societies, univer-sities and colleges, and other not-for-profit institutions in developingthe human and technological infrastructure necessary to advancescholarly communications in the digital age. To this end, SC madea number of grants in 2014 that provide support for core services andinitiatives that span SC’s grantmaking areas. The Hypothes.is Projectreceived funds to develop digital annotation services for primarysource collections and scholarly publications. The InternationalImage Interoperability Framework (IIIF), which was originally devel-oped to facilitate interoperability of medieval manuscript collections,is being applied to improve publishing as well as access to library col-lections. Yale University is incorporating IIIF in a platform for

31

collaborative editing of classical Chinese texts, while Johns HopkinsUniversity is embedding it in a research environment for the studyof annotated, early modern printed books. The Council on Libraryand Information Resources (CLIR) was awarded funds to supporta new cohort of postdoctoral fellows in data curation. The cohort,which will be selected in 2015, will focus on preserving, publishing,and providing access to resources in visual studies. In addition,Vanderbilt University and the University of Pittsburgh each receivedgrants to advance the work of the Committee on Coherence atScale, the mission of which is to foster collaboration among a num-ber of national digital initiatives in preservation and access.

SC supported two scholarly publication initiatives that seek tobring humanities research to bear on matters of urgent public con-cern: Pennsylvania State University’s effort to develop a PublicPhilosophy Journal, and Purdue University’s interdisciplinary projectto generate research and publication, led by humanities scholars, on“Grand Challenge” questions. These two grants also represented onefacet of SC’s multipronged strategy to advance the publication ofhigh-quality scholarly works in the humanities. Following extensivediscussions among program staff, scholars, librarians, press direc-tors, and senior academic administrators on the future of publishingin the humanities, the following four priorities emerged: (1) developnew business models to sustain publications issued under openlicenses; (2) support new genres of scholarly publication as well asexisting journal and monograph formats; (3) identify criteria for peerreview for both traditional and non-traditional publications in dig-ital formats; and (4) establish new technical infrastructure withinpresses, libraries, and academic institutions for the publication anddissemination of digital scholarly works.

To advance understanding of the economics of digital scholarlypublishing, Ithaka Harbors, Inc. received funds to conduct a studyof the costs of monograph publishing. Indiana University (in col-laboration with the University of Michigan) and Emory Universitywere awarded funds to explore whether and how universities couldsupport publication fees for faculty monographs so that those workscould be made available on an open access basis. With Foundationsupport, the University of Lincoln is also exploring the feasibility ofa funding model based on research library contributions for the OpenLibrary of Humanities to publish individual articles and journal issueson an open access basis.

32

SC awarded funds so that Brown University, which does not havea press, could hire a digital editor and digital information designerto work with faculty on the development of digital monographs andother emerging genres of long-form publications. Brown will alsoreview and revise its tenure and promotion criteria across human-ities departments to take account of digital scholarship andpublications. In addition, three scholarly societies—the College ArtAssociation, in collaboration with the Society of ArchitecturalHistorians, and the American Historical Association—receivedfunds to revise disciplinary guidelines for the review of digital pub-lications, especially in promotion and tenure processes.

University presses at the Universities of California andNorth Carolina and at Stanford and Yale Universities receivedgrants to develop new services, workflows, and software tools for theediting, production, and marketing of digital long-form publications.The grant to Stanford University is supporting the editing and pro-duction of “interactive scholarly works,” an umbrella term thatrefers to publications that include or are linked to underlying dataand primary sources with which readers can interact while reading.Because digital publication initiatives cannot be separated fromdeliberate action to preserve new additions to the scholarly record,works published during the Stanford grant term would be maintainedin the library’s digital repository.

In the areas of preservation and access, SC is giving high pri-ority to audio and audiovisual collections. New York Universityreceived a grant to collaborate with the Internet Archive to captureand preserve the websites of composers, including the audio andaudiovisual files on those sites. In addition, Indiana and NorthwesternUniversities were awarded funds for further development of theAvalon software for libraries to store, manage, and provide onlineaccess to audiovisual collections.

Finally, in support of efforts to improve access to library col-lections, the Foundation’s Trustees approved a new grantmakingcompetition to be administered by CLIR for the digitization ofspecial collections. This competition will replace the CatalogingHidden Collections program that CLIR has managed since 2008.SC also provided support to the Digital Public Library of Americato support business planning. In addition, to advance the acquisi-tion and availability of non-English language collections in USresearch libraries, the University of Texas at Austin is using

33

Foundation funds for a pilot program in collaborative digitizationand preservation of Latin American archival collections, while theUniversity of North Carolina at Chapel Hill has launched an initiativeto forge collaborative relationships between librarians in the US andthe Middle East.

Diversity

Armando I. Bengochea continued to lead the Diversity programin 2014. On June 25, 2014, at the High Museum in Atlanta, theFoundation celebrated the 25th anniversary of the Mellon MaysUndergraduate Fellowship (MMUF) program. This event followedthe debut of a new MMUF website in February and acceptance bythe Board of Trustees in March of a comprehensive review of theprogram. As of March 2015, more than 570 MMUF fellows hadearned a PhD. Of those, 99 had received tenure as college and uni-versity faculty; 198 fellows were presently in tenure-track positions;and approximately 100 fellows were in other faculty roles, includ-ing those of visiting professor, lecturer, and postdoctoral fellow.Eleven fellows are now directing MMUF programs at their currentinstitutions.

A renewed and concerted focus on the goals of MMUF resultedin expansion of the program in 2014-2015, especially in fulfillmentof a new strategic initiative to create more pathways to doctoral studyfor Latino students in the humanities and related disciplines. TheFoundation has been tracking with great interest the growth of theLatino population in the US, and last year invited three new insti-tutions into MMUF whose participation offers the likely prospectof reaching more students from that demographic cohort as well asother students committed to the mission of the program. These newentrants to MMUF were the University of Texas at Austin, theUniversity of California at Riverside, and the University ofNew Mexico; the University of Puerto Rico at Río Piedras was alsoinvited to submit an MMUF proposal for 2015. In addition tothese institutions, the Claremont Consortium of Colleges wasinvited into MMUF in accordance with a consortial MMUF modelthat permits experimentation with new cooperative arrangements.The five cooperating Claremont institutions, led by Pomona College,will share selection, orientation, and training of ten fellows each year.

34

The Diversity program’s new Latino initiatives also included adissertation completion grant to the Inter-University Program forLatino Research (IUPLR) at the University of Illinois at Chicago,which represents 25 university research centers and programs aimedat supporting Latino students. Additionally, in an effort to determinehow the Foundation might support the creation of other “pipeline”efforts that complement the goals of MMUF and promote doctoraldegree attainment by Latino students, a study was commissionedfrom the Center for Minority Serving Institutions at the Universityof Pennsylvania. The study explores productive ways in which majorresearch universities seeking diverse pools of graduate applicantsmight initiate formal collaboration with comprehensive universitiesthat are also Hispanic Serving Institutions.

The Diversity program has made several grants in the past yearto support the Foundation’s new strategic priority of communicat-ing the value of the arts and humanities to the public at large. TheDemocratizing Knowledge Project, a collaboration between SyracuseUniversity and two other institutions, will use tools of the human-ities and related social sciences, such as public ethnography, toaddress concerns and challenges shared by the institutions andtheir surrounding communities; the newly opened National Centerfor Civil and Human Rights in Atlanta will enhance its efforts at com-munity outreach and education through the creation of the JohnLewis Fellowship for advanced undergraduates and recent gradu-ates from American and European universities; and the Foundationwill support the research required for the production of a future doc-umentary for the Public Broadcasting System (PBS) on the historyof Historically Black Colleges and Universities (HBCUs).

The Foundation supports faculty and curricular developmentand other initiatives to expand academic capacity for a select groupof HBCU institutions. The Diversity program’s support for individualHBCUs included grants to Spelman College, for initiatives toimprove student academic success; Fisk University, for developmentof a new teaching and student learning center; Morehouse College,for support of a new major and minor in cinema and emerging mediastudies; Clark Atlanta University, for a curricular development plan;Xavier University, for its teaching center and undergraduate researchprogram; and Tougaloo College, for an exploration of the theme ofmodern slavery, its relationship to historical slavery, and the impli-cations of both for the college’s future curricular priorities. The

35

Foundation made a strategic decision to expand its support ofHBCU institutions for 2015; invitations for proposals were extendedto Hampton, Claflin, Tuskegee, and Morgan State Universities.

International Higher Education and Strategic Projects

The Foundation’s strategic plan gave birth to a new InternationalHigher Education and Strategic Projects (IHESP) program, whichhas been led by Saleem Badat since August 2014. The Foundationunderstands that strong systems of higher education and culturalinstitutions are essential to building and sustaining viable polities andsocieties in emerging as well as more established regions of theglobe. Its positive experience in South Africa over the past 27 yearsjustifies targeted involvement in other countries or regions where theFoundation’s commitment to the humanities, the arts, and highereducation could contribute to supporting fragile democracies andcreate favorable conditions for their participation in global net-works of research and culture.

The program’s overarching purpose is to help institutionsbecome durable and capable of contributing to social cohesion, andto assist them in constructing educational systems that serve the inter-ests of society at large. In order to bolster the capacities of academicand cultural institutions and of the people working within them, theprogram will provide professional and financial resources in supportof teaching, learning, scholarship, and effective scholarly commu-nication, and will encourage its grantees to find ways to share thebenefits of this work with the public at large.

New areas and strengthened emphases will include programsthat engage scholars in all academic disciplines in the joint study ofcore problems affecting their own societies; initiatives that mobilizehumanistic scholars and artists to participate in interdisciplinary andinternational collaboration on “Grand Challenge” questions; pro-jects that share the benefits of teaching, learning, and research in thehumanities and the arts with the public; and the coordination of inter-national grantmaking across program areas in order to heighten thesalience of global contexts to all Foundation grantmaking.

Given the fundamental imperatives of meeting basic needs suchas clean air, water, energy, food, and health, providing for environmentalsustainability, and creating equitable societies in the face of deepen-ing inequality, the Foundation’s ongoing support for the humanities

36

and arts in South Africa and other countries will encourage an inte-grative engagement with scholars in all academic disciplines—first andforemost with the social sciences, but in the spirit of liberal educationextending to the natural sciences and technology as well.

During 2014, 17 grants totaling $8.84 million were made to sevenSouth African universities. Beyond the IHESP program, in theFoundation’s HESH, Scholarly Communications, and Arts andCultural Heritage programs, eight grants totaling $2.39 million weremade to international universities—the Universities of York,Victoria,Toronto, Oxford, and Lincoln, University College Dublin, NationalUniversity of Ireland, and the American University in Cairo. Fivegrants totaling $3.13 million were made to international cultural insti-tutions: the Victoria and Albert Museum, the British Museum, theBritish Library, Biblioteca Apostolica Vaticana, and Stichting totExploitatie van het Rijksbureau voor Kunsthistorische Documentatie.A grant of $17,100 was made to the Metropolitan Museum of Artto provide conservation support to the Museum of Islamic Art,Cairo, which suffered devastating damage in the January 2014 carbombing of the Cairo police headquarters across the street.

37

39


Summary of Grants and Contributions, 2014

Payable and 2014 Payable andCommitted at Grants and Commitments Committed at____________________________Dec. 31, 2013 Appropriated Paid Dec. 31, 2014

Higher Education and

Scholarship in the

Humanities . . . . . . . . . . . . $16,529,288 $109,893,850 $110,522,839 $15,900,299

Arts and Cultural Heritage . . 23,192,597 71,453,015 60,068,978 34,576,634

Scholarly Communications . . 4,067,815 33,433,500 33,204,315 4,297,000

Diversity . . . . . . . . . . . . . . . . 500,000 15,898,222 15,898,222 500,000

International Higher Education

and Strategic Projects . . . . — 8,836,700 8,511,700 325,000

Public Affairs . . . . . . . . . . . . — 550,000 550,000 —

Conservation and the

Environment . . . . . . . . . . . 4,792,500 — 1,893,001 2,899,499___________________ _____________________ _____________________ ___________________Program grants and

commitments - totals . . . . 49,082,200 240,065,287 230,649,055 58,498,432

Contributions and

matching gifts . . . . . . . . . . — 1,192,123 1,192,123 —___________________ _____________________ _____________________ ___________________$49,082,200 $241,257,410 $231,841,178 $58,498,432___________________ _____________________ _____________________ ______________________________________ _____________________ _____________________ ___________________


Classification of Grants

HIGHER EDUCATION AND SCHOLARSHIPIN THE HUMANITIES Appropriated

Agnes Scott College,Decatur, Georgia:

To support new faculty positions with specializationin the Middle East . . . . . . . . . . . . . . . . . . . . . . . . . $ 750,000

Albion College,Albion, Michigan:

To support student-faculty collaboration andproblem-based curricula in the humanities . . . . . . . 100,000

American Council of Learned Societies,New York, New York:

To continue support for a program enablingnon-academic organizations to appoint PhDsin the humanities to postdoctoral positions . . . . . . . 6,525,000

To support dissertation completion fellowshipsfor graduate students in the humanities andsocial sciences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5,000,000

To support a fellowship competition for scholarsin the humanities . . . . . . . . . . . . . . . . . . . . . . . . . . 2,800,000

To support a fellowship competition for scholarsin the humanities . . . . . . . . . . . . . . . . . . . . . . . . . . 1,230,000

American Council on the Teaching of Foreign Languages, Inc., Alexandria, Virginia:

To support a campaign to promote the learning of foreign languages by students in US educational institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500,000

41

HIGHER EDUCATION AND SCHOLARSHIP IN THE HUMANITIES

(continued) Appropriated

42

American Historical Association,Washington, DC:

To support a series of pilot projects to help graduatestudents in the field of history prepare for a range ofnon-academic as well as academic careers . . . . . . . . 1,600,000

American University in Cairo,New York, New York:

To support the planning of research seminars,inter-institutional partnerships, and public outreach . . 50,000

Amherst College,Amherst, Massachusetts:

To support faculty bridge appointments in the arts,humanities, and humanistic social sciences . . . . . . . 875,000

To support a New Directions Fellowship . . . . . . . . 262,500

Associated Colleges of the South, Inc.,Atlanta, Georgia:

To support diversity and inclusion-based initiatives . . 34,800

Association of American Colleges and Universities,Washington, DC:

To support a study of capstone academic experiences . . 50,000

Austin College,Sherman, Texas:

To support interdisciplinary collaborations in thedigital humanities . . . . . . . . . . . . . . . . . . . . . . . . . . 500,000

Bard College,Annandale-on-Hudson, New York:

To support a digital humanities curricular initiative . . 800,000



43

Barnard College,New York, New York:

To support the integration of technology into thecurriculum through partnerships with local culturaland scientific institutions . . . . . . . . . . . . . . . . . . . . 800,000

Bennington College,Bennington, Vermont:

To support presidential leadership . . . . . . . . . . . . . 100,000

Birmingham-Southern College,Birmingham, Alabama:

To support a faculty position in Arabic . . . . . . . . . . 100,000

Boston University,Boston, Massachusetts:


Brandeis University,Waltham, Massachusetts:


Brown University,Providence, Rhode Island:

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Displacement and theMaking of the Modern World: Histories, Ecologies,and Subjectivities” . . . . . . . . . . . . . . . . . . . . . . . . . 175,000

Bucknell University,Lewisburg, Pennsylvania:

To support faculty renewal and diversity . . . . . . . . . 800,000

Carleton College,Northfield, Minnesota:




44

Carnegie Mellon University,Pittsburgh, Pennsylvania:

To support an initiative that would train humanitiesPhD students in digital scholarship and pedagogicuse of technology-enhanced learning tools . . . . . . . 2,000,000

Case Western Reserve University,Cleveland, Ohio:

To support collaborations with humanities faculty atCuyahoga Community College, and an initiative thatwould facilitate transfer of community college studentsto the university’s four-year degree programs . . . . . 1,550,000

Claremont McKenna College,Claremont, California:


Claremont University Consortium,Claremont, California:

To support digital humanities initiatives . . . . . . . . . 1,500,000

Colgate University,Hamilton, New York:

To support faculty experimentation with onlinepedagogies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91,280

College of William and Mary,Williamsburg, Virginia:

To support the implementation of a new liberal artscurriculum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900,000

Columbia University,New York, New York:

To continue support for a collaboration that usesonline interactive video technology for deliveringinstruction in the less commonly taught languages . . 1,200,000

To support the Pulitzer Prize Board’s CentennialCampfires Initiative . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000

To endow scholarly initiatives in French studies . . . 500,000

To support the development of an interdisciplinaryCenter for Science and Society . . . . . . . . . . . . . . . . 500,000

Concordia College,Moorhead, Minnesota:

To support digital humanities initiatives . . . . . . . . . 100,000

To support the integration of language and culturalprograms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53,000

Cornell College,Mount Vernon, Iowa:

To support faculty development in the digital liberalarts and the expansion of experiential learning . . . . 500,000

Cornell University,Ithaca, New York:

To support in perpetuity the Central New YorkHumanities Corridor, a collaborative researchinitiative of Syracuse University, Cornell University,and the University of Rochester . . . . . . . . . . . . . . . 750,000

Council for European Studies,New York, New York:

To support dissertation completion fellowships inEuropean studies . . . . . . . . . . . . . . . . . . . . . . . . . . 975,000



45



46

Council of Independent Colleges,Washington, DC:

To support faculty development seminars in classicalstudies and American history . . . . . . . . . . . . . . . . . 756,000

Council on Library and Information Resources,Washington, DC:

To support renewal of fellowships for research withoriginal sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,400,000

Denison University,Granville, Ohio:


Dickinson College,Carlisle, Pennsylvania:


Doane College,Crete, Nebraska:

To support planning for an Asian studies program . . 50,000

Duke University,Durham, North Carolina:

To support the Seminars in Historical, Global, andEmerging Humanities at the John Hope FranklinInstitute for the Humanities . . . . . . . . . . . . . . . . . . 1,300,000

Elizabethtown College,Elizabethtown, Pennsylvania:

To support strengthening the liberal arts curriculum . . 100,000

Emory & Henry College,Emory, Virginia:

To support a project-based core curriculum . . . . . . 100,000



47

The Five Colleges of Ohio,Gambier, Ohio:

To support language pedagogy collaborations betweenliberal arts colleges and a research university . . . . . . 2,000,000

To support the acquisition and implementation of ashared web-based procurement system . . . . . . . . . . 100,000

Franklin & Marshall College,Lancaster, Pennsylvania:

To support the establishment of a center on teachingand scholarship . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700,000

French American Cultural Exchange,New York, New York:

To support the Partner University Fund program toestablish partnerships in the humanities betweenuniversities in France and the US . . . . . . . . . . . . . . 1,000,000

Georgetown University,Washington, DC:


Graduate School and University Center,City University of New York,New York, New York:

To support a research seminar on the publichumanities at the Center for the Humanities . . . . . . 380,000

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Cultures and Historiesof Freedom: Ideology, Slavery, and Creolization, 1500-1900” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175,000



48

Greater Washington Educational TelecommunicationsAssociation, Inc.,Arlington, Virginia:

To support the completion of two public televisionseries on the last half-century of African Americanhistory and on the great civilizations of Africa fromits ancient history to the late 19th century . . . . . . . . 2,000,000

Grinnell College,Grinnell, Iowa:

To support humanities-centered collaborations witha research university in the digital liberal arts . . . . . 1,600,000

Guilford College,Greensboro, North Carolina:

To support a program for the digital arts andhumanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Gustavus Adolphus College,St. Peter, Minnesota:

To support the curricular integration of core liberalarts skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Hamilton College,Clinton, New York:

To support development and production of onlinecourses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250,000

Hampden-Sydney College,Hampden-Sydney, Virginia:

To support faculty training in the Western Cultureprogram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Hampshire College,Amherst, Massachusetts:

To support institutional and faculty renewal . . . . . . 300,000

To support planning for a learning commons . . . . . 65,000



49

Harvard University,Cambridge, Massachusetts:

To establish a new initiative in Urban LandscapeStudies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 850,000

Harvey Mudd College,Claremont, California:

To support a summer bridge program for first-yearstudents from underrepresented and disadvantagedbackgrounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375,000

To support development of interdisciplinary coursesintegrating the sciences with the arts and humanities . . 150,000

Haverford College,Haverford, Pennsylvania:

To support the creation of a new Visual StudiesProgram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800,000


Hobart and William Smith Colleges,Geneva, New York:

To support a comprehensive review of the curriculum . . . 50,000

Illinois College,Jacksonville, Illinois:

To support a faculty training program in the digitalhumanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Intercollegiate Center for Classical Studies,Durham, North Carolina:

To support the Professor-in-Charge position . . . . . . 500,000

Juniata College,Huntingdon, Pennsylvania:

To support an assessment of the general educationcurriculum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000



50

Kalamazoo College,Kalamazoo, Michigan:

To support diversity and inclusion initiatives . . . . . . 616,000

Kenyon College,Gambier, Ohio:

To support the establishment of a center forcommunity engagement . . . . . . . . . . . . . . . . . . . . . 800,000


Knox College,Galesburg, Illinois:

To support faculty development in teaching andscholarship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400,000

Lafayette College,Easton, Pennsylvania:


Lake Forest College,Lake Forest, Illinois:

To support a digital humanities project to preserveand document the history and material culture ofarchitectural sites in Chicago . . . . . . . . . . . . . . . . . 800,000

Lawrence University,Appleton, Wisconsin:

To support faculty renewal . . . . . . . . . . . . . . . . . . . 750,000


To support institutional collaboration with RiponCollege . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Lehigh University,Bethlehem, Pennsylvania:

To support a community engagement initiativeintegrating digital media across the humanitiescurriculum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800,000



51

Luther College,Decorah, Iowa:

To support student-faculty collaborative research . . 100,000

Lycoming College,Williamsport, Pennsylvania:

To support student-faculty collaborative researchin the arts, humanities, and humanities-focusedsocial sciences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Macalester College,Saint Paul, Minnesota:

To support faculty development through digitalapproaches to scholarship, pedagogy, and multimodalwriting instruction . . . . . . . . . . . . . . . . . . . . . . . . . 800,000

To support strategic planning initiatives . . . . . . . . . 250,000

Marlboro College,Marlboro, Vermont:

To support artistic residencies that introduce digitalmedia into the arts curriculum . . . . . . . . . . . . . . . . 50,000

McDaniel College,Westminster, Maryland:

To support undergraduate research in the humanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Middlebury College,Middlebury, Vermont:

To support the study and teaching of the digitalliberal arts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800,000

Mills College,Oakland, California:

To support strengthening the humanities throughlanguage study . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000



52

Millsaps College,Jackson, Mississippi:

To support the integration of writing and oralcommunication into the general education program . . 100,000

Modern Language Association of America,New York, New York:

To support an initiative in language and literaturegraduate programs designed to renew thecurriculum, strengthen pedagogical training, andprepare students for a range of non-academic aswell as academic careers . . . . . . . . . . . . . . . . . . . . . 1,900,000

Monmouth College,Monmouth, Illinois:

To support the first-year experience in the coreliberal arts program . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Moravian College,Bethlehem, Pennsylvania:

To support blended learning and the digitalhumanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Muhlenberg College,Allentown, Pennsylvania:

To support international and interdisciplinarycurricular renewal . . . . . . . . . . . . . . . . . . . . . . . . . . 428,000

Museum of the City of New York,New York, New York:

To support predoctoral and postdoctoral fellowshipsin public history . . . . . . . . . . . . . . . . . . . . . . . . . . . 800,000

National History Center, Inc.,Washington, DC:

To support a program that maintains and expandsthe center’s nonpartisan congressional briefings . . . 130,000



53

National Humanities Center,Research Triangle Park, North Carolina:

To support a program of summer institutes forhumanist scholars in the digital humanities . . . . . . . 425,000

To support a final set of transatlantic summerinstitutes for recent PhDs in the humanities andrelated social sciences affiliated with US andEuropean institutions . . . . . . . . . . . . . . . . . . . . . . . 200,000

National September 11 Memorial & Museumat the World Trade Center Foundation, Inc.,New York, New York:

To support the museum’s engagement of humanitiesscholars in its mission and public programs . . . . . . . 750,000

New York Council for the Humanities,New York, New York:

To support innovative work by humanities centersin research universities . . . . . . . . . . . . . . . . . . . . . . 500,000

New York University,New York, New York:

To strengthen support for graduate study in keyhumanities departments . . . . . . . . . . . . . . . . . . . . . 2,725,000

New-York Historical Society,New York, New York:

To support the establishment of the Women’sHistory Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . 770,000

Oberlin College,Oberlin, Ohio:

To support faculty bridge positions in the humanitiesand humanistic social sciences . . . . . . . . . . . . . . . . 800,000

Oglethorpe University,Atlanta, Georgia:

To support the core curriculum . . . . . . . . . . . . . . . 100,000



54

The Pennsylvania State University,University Park, Pennsylvania:

To support enhanced programming in the university’sInstitute for the Arts and Humanities . . . . . . . . . . . 260,000

Pitzer College,Claremont, California:

To support planning for a Center for Pedagogy andEducation Technology . . . . . . . . . . . . . . . . . . . . . . . 55,000

Pomona College,Claremont, California:

To support an interdisciplinary program on Africa . . 250,000

Princeton University,Princeton, New Jersey:


To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Imperial Histories andGlobal Regimes” . . . . . . . . . . . . . . . . . . . . . . . . . . 175,000

Queens College,Flushing, New York:


Randolph College,Lynchburg, Virginia:

To support the general education curriculum . . . . . 100,000

Reed College,Portland, Oregon:

To support collaborative programs in dance and thecreation of a dance major . . . . . . . . . . . . . . . . . . . . 800,000



55

Rhodes College,Memphis, Tennessee:

To support faculty and curricular initiatives atthe Memphis Center for Teaching, Learning,and Scholarship . . . . . . . . . . . . . . . . . . . . . . . . . . . 600,000

Rice University,Houston, Texas:

To support development of new curriculum andfaculty and student engagement in the publichumanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600,000

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Platforms of Knowledgein a Wide Web of Worlds: Production, Participation,and Politics” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175,000

Rutgers, The State University of New Jersey,New Brunswick, New Jersey:

To support a third and final round of graduatefellowships in the university’s humanities programs . . 3,500,000

Scripps College,Claremont, California:

To support an evaluation of a reduced teaching loadon the academic program . . . . . . . . . . . . . . . . . . . . 72,000

Skidmore College,Saratoga Springs, New York:

To support an initiative to advance visual literacyand communication . . . . . . . . . . . . . . . . . . . . . . . . 750,000

To support a new faculty center for teaching,learning, and leadership . . . . . . . . . . . . . . . . . . . . . 250,000

Smith College,Northampton, Massachusetts:




56

Social Science Research Council,Brooklyn, New York:

To support the International Dissertation ResearchFellowship program for graduate students in thehumanities and social sciences . . . . . . . . . . . . . . . . 5,150,000

Southwestern University,Georgetown, Texas:

To support initiatives of the National Institute forTechnology in Liberal Education . . . . . . . . . . . . . . 500,000


St. John’s College,Annapolis, Maryland:

To support a project exploring the effects of digitaltechnology on language . . . . . . . . . . . . . . . . . . . . . . 800,000

St. Olaf College,Northfield, Minnesota:

To support the establishment of the Institute forFreedom and Community . . . . . . . . . . . . . . . . . . . 150,000

Susquehanna University,Selinsgrove, Pennsylvania:

To support development of interdisciplinary minors . . 100,000

Syracuse University,Syracuse, New York:

To support in perpetuity the Central New YorkHumanities Corridor, a collaborative researchinitiative of Syracuse University, Cornell University,and the University of Rochester . . . . . . . . . . . . . . . 2,300,000

Trinity University,San Antonio, Texas:

To support the implementation of a new generaleducation curriculum . . . . . . . . . . . . . . . . . . . . . . . 800,000



57

Tufts University,Medford, Massachusetts:

To support the launch of a major initiative ininterdisciplinary faculty hiring . . . . . . . . . . . . . . . . . 1,430,000

Union College,Schenectady, New York:

To support an interdisciplinary program withinthe college’s Common Curriculum . . . . . . . . . . . . . 150,000

University of California at Berkeley,Berkeley, California:

To support a program of digital humanities trainingand research for faculty, students, postdoctoralscholars, and curators . . . . . . . . . . . . . . . . . . . . . . . 2,000,000

To support innovative work by humanities centersin research universities . . . . . . . . . . . . . . . . . . . . . . 950,000

University of California at Davis,Davis, California:

To support four new interdisciplinary graduateresearch initiatives in the humanities . . . . . . . . . . . . 1,725,000

To support a Sawyer Seminar on the Comparative Study of Cultures entitled “Surveillance Democracies?” . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175,000

University of California at Los Angeles,Los Angeles, California:

To support renewal and expansion of a program toreform the undergraduate curriculum for Literaturesin English . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600,000

University of California at Riverside,Riverside, California:

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Alternative Futurisms” . . 175,000



58

University of Chicago,Chicago, Illinois:

To support renewal of the Residential Fellowshipsfor Arts Practice & Scholarship at the Gray Centerfor Arts and Inquiry . . . . . . . . . . . . . . . . . . . . . . . . 1,500,000

University of Illinois at Urbana-Champaign,Champaign, Illinois:

To support research clusters in the biological,environmental, and legal humanities . . . . . . . . . . . . 2,050,000

University of Massachusetts at Amherst,Amherst, Massachusetts:


To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “The Medieval in theModern: Rethinking Global Paradigms of PoliticalEconomy and Culture” . . . . . . . . . . . . . . . . . . . . . . 175,000

University of Michigan,Ann Arbor, Michigan:

To support experimental programs in the RackhamGraduate School to broaden career horizons fordoctoral students in the humanities . . . . . . . . . . . . . 500,000

University of North Carolina at Chapel Hill,Chapel Hill, North Carolina:


University of Oxford,Oxford, United Kingdom:

To support the Oxford Humanities Center . . . . . . . 566,370

University of Pittsburgh,Pittsburgh, Pennsylvania:

To support and strengthen the university’s VisualCultural “Constellation” effort for university-wideundergraduate and graduate curriculum reformin the humanities . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000



59

University of Puget Sound,Tacoma, Washington:

To support interdisciplinary curricular initiatives . . . 600,000

University of Rochester,Rochester, New York:

To support in perpetuity the Central New YorkHumanities Corridor, a collaborative researchinitiative of Syracuse University, Cornell University,and the University of Rochester . . . . . . . . . . . . . . . 500,000

University of Southern California,Los Angeles, California:


University of Texas at Austin,Austin, Texas:


University of the South,Sewanee, Tennessee:

To support an interdisciplinary and collaborativecurricular program for Southern Appalachian studies . . 800,000

University of Toronto,Toronto, Canada:

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Religious Materialityin the Indian Ocean World, 1300-1800” . . . . . . . . . 175,000

University of Washington,Seattle, Washington:

To support the Reimagining the Humanities PhDprogram at the Simpson Center . . . . . . . . . . . . . . . 750,000



60

University of Wisconsin at Madison,Madison, Wisconsin:

To endow a program of Interdisciplinary Workshopsin the University’s Center for the Humanities . . . . . 400,000

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “Bibliomigrancy: WorldLiterature in the Public Sphere” . . . . . . . . . . . . . . . 175,000

To provide bridging support for the InterdisciplinaryWorkshop in the Humanities Center . . . . . . . . . . . . 30,000

Vanderbilt University,Nashville, Tennessee:

To support a Sawyer Seminar on the ComparativeStudy of Cultures entitled “When the FringeDwarfs the Center: Vernacular Islam Beyond theArab World” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175,000

Vassar College,Poughkeepsie, New York:

To support an evaluation of capstone projects andwriting instruction across the curriculum . . . . . . . . 150,000

Wabash College,Crawfordsville, Indiana:


Washington and Jefferson College,Washington, Pennsylvania:

To support implementation of the PennsylvaniaConsortium for the Liberal Arts . . . . . . . . . . . . . . . 800,000

Washington University in St. Louis,St. Louis, Missouri:

To support an interdisciplinary initiative thatwould study urban segregation, with an emphasison St. Louis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 650,000

To support a New Directions Fellowship . . . . . . 229,200



61

Wellesley College,Wellesley, Massachusetts:

To support innovation in teaching, learning, and research that integrates blended learning pedagogies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800,000

To support faculty experimentation with onlinelearning in the liberal arts . . . . . . . . . . . . . . . . . . 55,000

Wesleyan University,Middletown, Connecticut:

To endow the College of Film and the Moving Image . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,000,000

Willamette University,Salem, Oregon:

To support an interdisciplinary student-facultyresearch program in the arts, humanities, andhuman sciences . . . . . . . . . . . . . . . . . . . . . . . . . 700,000

Wofford College,Spartanburg, South Carolina:

To support digital humanities initiatives . . . . . . . 100,000

Yale University,New Haven, Connecticut:

To support the Whitney Humanities Center’s“Thinking Humanities in the 21st Century:A Program of Mid-Career Research Fellows” . . . 575,000____________

Total—Higher Education and Scholarshipin the Humanities $109,893,850________________________

The Actors’ Fund of America,New York, New York:

To support expanded health insurance enrollmentservices and planning for the future of theAl Hirschfeld Free Health Clinic . . . . . . . . . . . . . . . $ 100,000

The Detroit Institute of Arts,Detroit, Michigan:

To support the “Grand Bargain” that will enablethe museum to hold its collections for the publicin perpetuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10,000,000

Greater Washington Educational TelecommunicationsAssociation, Inc.,Arlington, Virginia:

To support the expansion and strengthening of artsand cultural programming on PBS NewsHourthrough the creation of a “Culture Desk” . . . . . . . . 400,000

Institute of International Education, Inc.,New York, New York:

To support exploration of a new initiative in supportof artists at risk of persecution and/or physical harm . . 79,291

Massachusetts Museum of Contemporary Art Foundation, Inc.,North Adams, Massachusetts:

To support development of interdisciplinary practicethrough the Confluence Artists Residencies . . . . . . 500,000

National Arts Strategies, Inc.,Alexandria, Virginia:

To support professional development programsfor the arts and cultural sector . . . . . . . . . . . . . . . . 1,000,000

62

ARTS AND CULTURAL HERITAGE Appropriated

Nonprofit Finance Fund,New York, New York:

To support planning for a multiyear financial healthinitiative serving small-to-midsized nonprofit artsand cultural heritage organizations . . . . . . . . . . . . . 485,000

Performa, Inc.,New York, New York:

To support postdoctoral fellowships in the historyand production of performance art . . . . . . . . . . . . . 460,000

Portland Institute for Contemporary Art, Portland, Oregon:

To support development of interdisciplinary practicethrough the Creative Exchange Lab . . . . . . . . . . . . 500,000

Smithsonian Institution,Washington, DC:

To support planning for the Cultural CrisisRecovery Center . . . . . . . . . . . . . . . . . . . . . . . . . . . 250,000

Regents of the University of California,Oakland, California:

To support development and presentation ofinterdisciplinary work at the Center for the Art ofPerformance, University of California at Los Angeles . . 500,000

Whitney Museum of American Art,New York, New York:

To endow a curator of performance and support theposition while matching funds are being raised . . . . 1,500,000

Art History, Conservation, and Museums

American Folk Art Museum,New York, New York:

To support strategic planning for the Folk Art Annex . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54,500

63

ARTS AND CULTURAL HERITAGE(continued) Appropriated

The Art Institute of Chicago,Chicago, Illinois:

To support collaborative programs to strengthenobject-centered training of doctoral students inart history . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 623,026

Brandeis University,Waltham, Massachusetts:

To support strengthening student and facultyengagement with the collections of theRose Art Museum . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

The British Museum,London, United Kingdom:

To support further development of a collaborativeonline research environment for art historians,curators, conservators, and scientists . . . . . . . . . . . . 1,500,000


To support a collaborative initiative to strengthenstudent and faculty engagement with the collectionsat the Haffenreffer Museum and the RISD Museumof Art . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76,804

Buffalo State College Foundation, Inc.,Buffalo, New York:

To endow student stipends in the conservationgraduate program . . . . . . . . . . . . . . . . . . . . . . . . . . 1,514,000

The Chinati Foundation,Marfa, Texas:

To support a master planning process for thefoundation’s land, buildings, and art . . . . . . . . . . . . 195,000

64


Corporation of the Fine Arts Museums,San Francisco, California:

To support staff and training capacity in theconservation of textiles, objects, and works on paper . . 813,000


To continue support for strengthening student andfaculty engagement with the collections at theNasher Museum of Art . . . . . . . . . . . . . . . . . . . . . . 500,000

Emory University,Atlanta, Georgia:

To continue support for a collaborative initiative toprovide object-centered training based on thecollections at the High Museum to graduatestudents in Emory’s art history department . . . . . . . 440,200

Graham Gund Gallery,Gambier, Ohio:

To support an artist residency program . . . . . . . . . . 100,000

Hamilton College,Clinton, New York:

To support a qualitative study on how public schoolsutilize the collections at the Wellin Museum of Art . . 100,000

International Network for the Conservation ofContemporary Art – North America,New York, New York:

To continue support for the Artist Interview Project . . 300,000

Khan Academy, Inc.,Mountain View, California:

To support an initiative to accelerate productionof high-quality teaching materials for global arthistory made available through Khan Academy’sSmarthistory platform . . . . . . . . . . . . . . . . . . . . . . 250,000

65


LYRASIS,Atlanta, Georgia:

To continue support for the HBCU PhotographicPreservation Project . . . . . . . . . . . . . . . . . . . . . . . . 700,000

Metropolitan Museum of Art,New York, New York:

To support the conservation of Chinese paintings . . 1,450,000

To support travel to assess damage to the collectionsat the Museum of Islamic Art, Cairo . . . . . . . . . . . . 17,000

National Gallery of Art,Washington, DC:

To continue support for ConservationSpace, anopen source web-based software application formanaging conservation documentation . . . . . . . . . . 1,680,000

New Museum of Contemporary Art,New York, New York:

To support the museum’s role as a platform forresearch and debate on contemporary art . . . . . . . . 500,000



Northwestern University,Evanston, Illinois:

To support collaborative programs to strengthenobject-centered training of doctoral studentsin art history . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259,753

66


Rhode Island School of Design,Providence, Rhode Island:

To support a collaborative initiative to strengthenstudent and faculty engagement with the collectionsat the RISD Museum of Art and the HaffenrefferMuseum at Brown University . . . . . . . . . . . . . . . . . 423,196


To continue support for a series of object studyworkshops organized by the Freer and SacklerGalleries for PhD students specializing in Chineseart history . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540,000

To support planning for a museum training programfor scholars in Native American art . . . . . . . . . . . . . 150,000

Spelman College,Atlanta, Georgia:

To support a pilot undergraduate program incuratorial studies . . . . . . . . . . . . . . . . . . . . . . . . . . 250,000

Stichting tot Exploitatie van het Rijksbureau voorKunsthistorische Documentatie,The Hague, The Netherlands:

To continue support for the Rembrandt Database . . 1,000,000

The Studio Museum in Harlem, Inc.,New York, New York:

To continue support for curatorial research and afellowship program . . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000

Toledo Museum of Art,Toledo, Ohio:

To endow a series of postdoctoral curatorialfellowships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000

67



To support collaborative programs to strengthenobject-centered training of doctoral students inart history . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416,625

University of Delaware,Newark, Delaware:


To support the next phase of the Middle EastPhotograph Preservation Initiative . . . . . . . . . . . . . 440,000


To endow the position of Academic Coordinatorand to support a collections assistant and tworesearch fellows from the university’s history ofart department . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000

Victoria and Albert Museum,London, United Kingdom:

To support planning activities for a new researchinstitute in object-based inquiry in art and materialculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Robert W. Woodruff Arts Center, Inc.,Atlanta, Georgia:

To continue support for a collaborative initiativethat provides object-centered training based on thecollections at the High Museum to graduate studentsin Emory University’s art history department . . . . . . 328,520


To endow the position of director of the ArtConservation Research Center . . . . . . . . . . . . . . . . 2,000,000

68


Performing Arts

Aaron Davis Hall, Inc.,New York, New York:

To support residency activities for the opera Makandal . . 75,000

Alarm Will Sound, Inc.,New York, New York:

To support artistic initiatives and organizationaldevelopment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175,000

Alliance of Resident Theatres New York, Inc.,New York, New York:

To support theater rehearsal space subsidies throughthe Creative Space Grant program . . . . . . . . . . . . . 476,600

Alternate ROOTS, Inc.,Atlanta, Georgia:

To support the Artistic Assistance and Partners inAction programs . . . . . . . . . . . . . . . . . . . . . . . . . . . 600,000

American Opera Projects, Inc.,Brooklyn, New York:

To support artistic initiatives and capacity building . . 200,000

American Symphony Orchestra League,New York, New York:

To support the Knowledge Center and leadershipdevelopment initiatives . . . . . . . . . . . . . . . . . . . . . . 500,000

Ballet Hispanico of New York, Inc.,New York, New York:

To support subsidized rehearsal space for theprofessional nonprofit dance field . . . . . . . . . . . . . . 120,000

69


Bard College,Annandale-on-Hudson, New York:

To support an evaluation of the effects of orchestra-related El Sistema-inspired music education programsin the US . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000

Baryshnikov Arts Center, Inc.,New York, New York:


Brooklyn Arts Exchange, Inc.,Brooklyn, New York:


Carnegie Hall Society, Inc.,New York, New York:

To support the UBUNTU: Music and Arts ofSouth Africa festival . . . . . . . . . . . . . . . . . . . . . . . . 120,000

Center for Performance Research, Inc.,Brooklyn, New York:


Chamber Music America, Inc.,New York, New York:

To support a commissioning program for classicalmusic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 750,000

Chez Bushwick, Inc.,Brooklyn, New York:


70


Creative Capital Foundation,New York, New York:

To support the Multi-Arts Production Fund . . . . . . 500,000

Dancewave, Inc.,Brooklyn, New York:


Dartmouth College,Hanover, New Hampshire:

To support classical music presenting activities atthe Hopkins Center for the Arts . . . . . . . . . . . . . . . 400,000

Detroit Symphony Orchestra Hall, Inc.,Detroit, Michigan:

To support artistic initiatives that encourage diversityand inclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900,000

Discalced, Inc.,Brooklyn, New York:


Emerson College,Boston, Massachusetts:

To support HowlRound: A Center for the TheaterCommons, the Latina/o Theater Commons, andthe Center for Performance and Civic Practice . . . . 1,300,000

To support developmental residencies at ArtsEmerson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375,000

To support a producer position for the Latina/oTheatre Commons . . . . . . . . . . . . . . . . . . . . . . . . . 50,000

A Far Cry, Inc.,Jamaica Plain, Massachusetts:


71


Fourth Arts Block, Inc.,New York, New York:


Fractured Atlas Productions, Inc.,New York, New York:

To support the Artful.ly business and ticketingmanagement software platform . . . . . . . . . . . . . . . . 600,000

Gina Gibney Dance, Inc.,New York, New York:

To support the Dance in Process residency program . . 750,000

Houston Grand Opera Association, Inc.,Houston, Texas:

To support development and production of newAmerican operas . . . . . . . . . . . . . . . . . . . . . . . . . . . 750,000

International Contemporary Ensemble Foundation, Inc.,Brooklyn, New York:

To support the OpenICE initiative . . . . . . . . . . . . . 450,000

John F. Kennedy Center for the Performing Arts,Washington, DC:

To support a festival of North American orchestras . . 900,000

Joyce Theater Foundation, Inc.,New York, New York:


Latino Theater Company,Los Angeles, California:

To support an artistic director fellowship programat the theater’s Fall 2014 Encuentro . . . . . . . . . . . . 82,500

72


Long Beach Opera,Long Beach, California:

To support artistic initiatives and capacity building . . 300,000

The Louisiana Philharmonic Orchestra,New Orleans, Louisiana:

To support a permanent revolving cash reserve fund . . 400,000

Lower Manhattan Cultural Council, Inc.,New York, New York:

To support the Extended Life Dance ResidencyProgram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600,000

Magic Theatre, Inc.,San Francisco, California:

To support development of new work and apermanent revolving cash reserve fund . . . . . . . . . . 450,000

Mid Atlantic Arts Foundation, Inc.,Baltimore, Maryland:

To support the US Artists International program . . 700,000

The Minnesota Opera,Minneapolis, Minnesota:

To support development and production of newAmerican operas . . . . . . . . . . . . . . . . . . . . . . . . . . . 750,000

Movement Research, Inc.,New York, New York:


Music Forward,Brooklyn, New York:


73


National Association of Latino Arts & Culture,San Antonio, Texas:

To support planning for and the pilot round of theAdvanced Intercultural Leadership Institute . . . . . . 75,000

National Performance Network, Inc.,New Orleans, Louisiana:

To support the Forth Fund program . . . . . . . . . . . . 700,000

New England Foundation for the Arts, Inc.,Boston, Massachusetts:

To support the National Theater Project . . . . . . . . . 3,625,000

To support regional meetings of artists and presentersin conjunction with the 2015 and 2016 NationalTheater Project cohort meetings . . . . . . . . . . . . . . . 45,000

New York City Center, Inc.,New York, New York:

To support the Choreography Fellowship Program . . 225,000

New York Live Arts, Inc.,New York, New York:


New York Shakespeare Festival,New York, New York:

To support the Public Works program and MobileShakespeare Unit . . . . . . . . . . . . . . . . . . . . . . . . . . 1,900,000

Orpheus Chamber Orchestra, Inc.,New York, New York:

To support the Next Generation Orpheus initiative . . 400,000


To support classical music presenting activities atthe Center for the Performing Arts . . . . . . . . . . . . . 400,000

74


People’s Light & Theatre Co.,Malvern, Pennsylvania:

To support the New Play Frontiers playwrightresidency initiative . . . . . . . . . . . . . . . . . . . . . . . . . 86,000

Pittsburgh Symphony, Inc.,Pittsburgh, Pennsylvania:

To support the Music for the Spirit initiative . . . . . . 400,000

Playwrights’ Center, Inc.,Minneapolis, Minnesota:

To support developmental activities and collaborationswith producing theaters . . . . . . . . . . . . . . . . . . . . . 500,000

Plymouth Philharmonic Orchestra, Inc.,Plymouth, Massachusetts:

To support the New Music for America commissioningconsortium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35,000

Rockefeller Philanthropy Advisors, Inc.,New York, New York:

To support ArtPlace America, a national regrantingprogram to promote the role of arts and culture inUS communities . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,000,000

San Francisco Symphony,San Francisco, California:

To support the SoundBox concert series . . . . . . . . . 600,000

Sandglass Center for Puppetry & Theater Research Ltd.,Putney, Vermont:

To support the Compassionate Borders Festivaland Symposium . . . . . . . . . . . . . . . . . . . . . . . . . . . 15,000

Seventh Regiment Armory Conservancy, Inc.,New York, New York:

To support productions in the Wade ThompsonDrill Hall and an artists-in-residence program . . . . 632,000

75


Signature Theatre Company, Inc.,New York, New York:

To support development and production of two newplays by Residency Five writers . . . . . . . . . . . . . . . . 450,000

South Arts, Inc.,Atlanta, Georgia:

To support the Dance Touring Initiative . . . . . . . . . 450,000

Sphinx Organization, Inc.,Detroit, Michigan:

To support planning for a new career developmentprogram for musicians from underrepresentedcommunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50,000

St. Ann’s Warehouse, Inc.,Brooklyn, New York:

To support artistic initiatives and a permanentrevolving cash reserve fund . . . . . . . . . . . . . . . . . . . 800,000

Sundance Institute,Park City, Utah:

To support the Sundance Institute Theatre Program . . 400,000

Theatre Communications Group, Inc.,New York, New York:

To support a professional development regrantingprogram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,750,000

To support an international exchange regrantingprogram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350,000

TOPAZ ARTS, Inc.,Woodside, New York:


76


Triskelion Arts-Kick-StanDance, Inc.,Brooklyn, New York:

To support subsidized rehearsal space for theprofessional nonprofit dance field . . . . . . . . . . . . . 72,000


To support classical music presenting activities at theRobert & Margrit Mondavi Center for the PerformingArts at the University of California at Davis . . . . . 400,000


To support classical music presenting activities atTexas Performing Arts . . . . . . . . . . . . . . . . . . . . . 400,000

The Virginia Arts Festival, Inc.,Norfolk, Virginia:

To support the John Duffy Composers Institute . . 155,000_______________________

Total—Arts and Cultural Heritage $71,453,015______________________________________________

77



To support the Digital Innovation Fellowshipprogram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 729,000

American Historical Association,Washington, DC:

To support development of guidelines for the evaluationof digital scholarship in the field of history . . . . . . . 36,500

Arizona State University,Tempe, Arizona:

To continue support for a digital repository of USarchaeological data and reports . . . . . . . . . . . . . . . . 1,000,000

ARTstor, Inc.,New York, New York:

To support office relocation expenses . . . . . . . . . . . 760,000

Association for Asian Studies, Inc.,Ann Arbor, Michigan:

To support a grantmaking competition to strengthenresearch library collections of materials from China,Korea, and Japan . . . . . . . . . . . . . . . . . . . . . . . . . . 288,000

Association of American University Presses, Inc.,New York, New York:

To support the professional development of universitypress staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39,000

Bay Area Video Coalition, Inc.,San Francisco, California:

To support the creation of online educational resourcesin the field of audiovisual preservation . . . . . . . . . . 140,000

Biblioteca Apostolica Vaticana,Vatican City:

To support planning for the implementation ofinteroperability protocols for digitized manuscripts . . 20,500

78

SCHOLARLY COMMUNICATIONS Appropriated

The Book Arts Press, Inc.,Charlottesville, Virginia:

To support a summer fellowship program in criticalbibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 757,000

The British Library,London, United Kingdom:

To support continuation and expansion of servicesfor digital scholarship . . . . . . . . . . . . . . . . . . . . . . . 506,000


To support capacities at universities and presses forthe development, publication, and preservation ofborn-digital interactive scholarly works . . . . . . . . . . 1,300,000

To support planning activities of the new director ofthe John Carter Brown Library . . . . . . . . . . . . . . . . 125,000

Center for Research Libraries,Chicago, Illinois:

To support the redesign of standard licensingtemplates for electronic resources . . . . . . . . . . . . . . 46,500

College Art Association of America, Inc.,New York, New York:

To support development of guidelines for the evaluationof digital scholarship in tenure and promotion in thefields of art and architectural history . . . . . . . . . . . . 90,000


To support implementation of a sustainability planfor an online database of jazz discography . . . . . . . . 174,000

Council of Independent Colleges,Washington, DC:

To support the collaborative management and useof digital images . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,200,000

79

SCHOLARLY COMMUNICATIONS(continued) Appropriated

Council on Library and Information Resources,Washington, DC:

To support the final year of a national grantmakingcompetition for the cataloging of Hidden Collectionsof scholarly and cultural importance . . . . . . . . . . . . 4,000,000

To support postdoctoral fellowships in data curation . . 916,000

To support the administration of a national grantmakingcompetition for the digitization of Hidden Collectionsof scholarly and cultural importance . . . . . . . . . . . . 340,000

To support planning for the transition of the HiddenCollections program from an emphasis on catalogingto a focus on digitization . . . . . . . . . . . . . . . . . . . . . 50,000

Digital Public Library of America,Boston, Massachusetts:

To support development and implementation of abusiness plan to broaden the base of support forthe Digital Public Library of America . . . . . . . . . . . 594,000

The Dunhuang Foundation, Inc.,New York, New York:

To support further development of digital assetmanagement capacities, staff training, andfundraising activities . . . . . . . . . . . . . . . . . . . . . . . . 329,000

Emory University,Atlanta, Georgia:

To support an investigation of the feasibility ofinstitutional support for the production anddissemination of scholarly works by humanitiesfaculty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56,500

Furman University,Greenville, South Carolina:

To support development of an experimental digitalhumanities course in historical botany . . . . . . . . . . . 50,000

80



To support the completion of the Dictionary ofCaribbean and Afro-Latin American Biography . . . . 200,000

To support planning for the future of the Programfor Latin American Libraries and Archives . . . . . . . 68,000

Historical Society of Pennsylvania,Philadelphia, Pennsylvania:

To support a survey and assessment of collectionsin small libraries, archives, and other collectinginstitutions in the State of Pennsylvania . . . . . . . . . 289,000

Johns Hopkins University,Baltimore, Maryland

To support initiatives to facilitate the use andinteroperability of digitized collections . . . . . . . . . . 488,000

Hypothes.is Project,San Francisco, California:

To support development of annotation servicesfor digital scholarly materials . . . . . . . . . . . . . . . . . 752,000

Indiana University,Bloomington, Indiana:

To support development of software to assist librariesin the preservation, management, and disseminationof audiovisual files in digital formats . . . . . . . . . . . . 750,000

To support research on scholarly publishing . . . . . . 181,000

Ithaka Harbors, Inc.,New York, New York:

To support a study of the costs of digital monographproduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142,000

To support a study of the role of Amazon inacquisition patterns at US university libraries . . . . . 57,500

To support planning for a study of the costs ofdigital monograph production . . . . . . . . . . . . . . . . . 19,500

81


New York Public Library,New York, New York:

To support partial costs of a conference on thetheoretical and practical aspects of publishingin the digital age . . . . . . . . . . . . . . . . . . . . . . . . . . . 50,500


To support development of software and proceduresto facilitate the archiving of the websites ofcontemporary composers . . . . . . . . . . . . . . . . . . . . 480,000

North Carolina State University,Raleigh, North Carolina:

To support further development of a shared databaseof bibliographical and administrative informationneeded for the purchase and management ofelectronic resources . . . . . . . . . . . . . . . . . . . . . . . . 333,000

Northeastern University,Boston, Massachusetts:

To support development of scholarly tools for theidentification of interrelated texts in large unstructuredcorpora of digitized works . . . . . . . . . . . . . . . . . . . . 500,000

Northwestern University,Evanston, Illinois:

To support development of a new version of encodingfor early modern texts in digital formats . . . . . . . . . 51,500


To support innovations in the online publishing ofjournals in philosophy . . . . . . . . . . . . . . . . . . . . . . . 549,000

To support enhancements to Zotero that would helpscholars archive their publications . . . . . . . . . . . . . . 440,000

82


Purdue University,West Lafayette, Indiana:

To support interdisciplinary research and publicationon “Grand Challenges” . . . . . . . . . . . . . . . . . . . . . . 539,000

Rochester Institute of Technology,Rochester, New York:

To support a series of training workshops in how toconserve digitally printed materials . . . . . . . . . . . . . 300,000


To support planning by a consortium of art museumsfor the implementation of methods and systems forpublishing linked open data . . . . . . . . . . . . . . . . . . 50,000

Stanford University,Stanford, California:

To support capacities at universities and presses forthe development, publication, and preservation ofborn-digital interactive scholarly works . . . . . . . . . . 1,200,000

To support planning for a new methodology for theassessment of research libraries . . . . . . . . . . . . . . . . 50,000

Swarthmore College,Swarthmore, Pennsylvania:

To support development of software for an openaccess database of information about writingprograms and instruction at institutions of highereducation in the US . . . . . . . . . . . . . . . . . . . . . . . . 60,000

University College Dublin,National University of Ireland,Dublin, Ireland:

To support the expansion of an online catalog ofprinted works in Spanish and Portuguese in the16th and 17th centuries . . . . . . . . . . . . . . . . . . . . . 471,000

83



To support development of a web-based open sourcepublishing platform . . . . . . . . . . . . . . . . . . . . . . . . 746,000

University of California at Davis,Davis, California:

To support research on the economic implicationsof open access journal publishing . . . . . . . . . . . . . . 800,000

University of Delaware,Newark, Delaware:

To support training in book and paper conservation . . 338,000

University of Illinois at Chicago,Chicago, Illinois:

To support development of an online portal forhistorical collections related to Chicago . . . . . . . . . 194,000

To support assessment of the papers of the Reverend Jesse L. Jackson, Sr. and the Rainbow PUSH Coalition . . . . . . . . . . . . . . . . . . . . . . . . . . . 25,000

University of Lincoln,Lincoln, United Kingdom:

To support planning of a platform and editorialframework for open access journal articles in thehumanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90,000


To support development of software and workflowsfor the accession, processing, and preservation ofelectronic records . . . . . . . . . . . . . . . . . . . . . . . . . . 355,000

84


University of Missouri at Columbia,Columbia, Missouri:

To support the salvage of mold-damaged librarycollections and restoration of access to damagedcontent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400,000

University of North Carolina at Chapel Hill,Chapel Hill, North Carolina:

To support development of forensic software toolsthat facilitate the preservation, management, anduse of digital archives . . . . . . . . . . . . . . . . . . . . . . . 750,000

To support planning for the large-scale digitizationand preservation of audio and audiovisual collections,and development of access mechanisms for theresulting digital files . . . . . . . . . . . . . . . . . . . . . . . . 188,000

To support planning for collaborations betweenresearch libraries in the US and Middle East . . . . . . 150,000

University of North Carolina Press,Chapel Hill, North Carolina:

To support development of a service bureau toprovide a broad array of digital publishing servicesto university presses . . . . . . . . . . . . . . . . . . . . . . . . 998,000

University of Oklahoma,Norman, Oklahoma:

To support the first phase of development of a digitallibrary of Latin texts and publication mechanisms fornew critical editions . . . . . . . . . . . . . . . . . . . . . . . . 572,000

University of Oxford,Oxford, United Kingdom:

To support the implementation of Shared Canvas, theInternational Image Interoperability Framework, andrelated tools to improve access to library collections . . 685,000

85


University of Pennsylvania,Philadelphia, Pennsylvania:

To support software development for a digital libraryof manuscripts from northern Thailand . . . . . . . . . . 50,000

University of Pittsburgh,Pittsburgh, Pennsylvania:

To support research on the costs, operations, andeffects of an emerging national digital infrastructurein higher education . . . . . . . . . . . . . . . . . . . . . . . . . 726,000

University of Toronto,Toronto, Canada:

To support a meeting of scholars and technical expertson the interoperability of manuscript sources . . . . . 26,500

University of Victoria,Victoria, Canada:

To support planning of a federation of digital projectsand resources in Renaissance studies . . . . . . . . . . . . 50,000

University of Virginia,Charlottesville, Virginia:

To support further development of a database and software tools to assist historical research on individuals and institutions . . . . . . . . . . . . . . . . 345,000

University of York,York, United Kingdom:

To support improved access to the Registers of theArchbishops of York at the university’s BorthwickInstitute for Archives . . . . . . . . . . . . . . . . . . . . . . 299,000

Vanderbilt University,Nashville, Tennessee:

To support the development of a strategic plan andfive-year operational roadmap for the Committeeon Coherence at Scale . . . . . . . . . . . . . . . . . . . . . 149,000

86


Virginia Foundation for the Humanities and Public Policy,Charlottesville, Virginia:

To support completion of a comprehensiveprosopography of individuals and organizationsfrom the founding period of the US . . . . . . . . . . . 609,000


To support an initiative of the new university librarian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50,000

West Virginia University,Morgantown, West Virginia:

To support development of a multimedia journalediting platform . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000


To support development of a platform and servicesfor the publication of digital monographs in arthistory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 840,000

To support the creation of an online platform forcollaborative transcription, annotation, and translationof premodern Chinese sources . . . . . . . . . . . . . . . 430,000_______________________

Total—Scholarly Communications $33,433,500______________________________________________

87



To support planning for the administration of the Mellon Mays Undergraduate Fellowship program . . $ 165,000

American Philosophical Association, Inc.,Newark, Delaware:

To support undergraduate summer institutes to address diversity in the field of philosophy . . . . . . . 600,000


To renew support for undergraduate summer research in the humanities and social sciences . . . . . 500,000

To support the one-year renewal of a Mellon MaysUndergraduate Fellowship program . . . . . . . . . . . . 188,500

Clark Atlanta University,Atlanta, Georgia:

To support comprehensive planning and development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100,000



Community MusicWorks,Providence, Rhode Island:

To support programming that promotes the role of music in building diverse and equitable communities . . 150,000


To create a professional socialization program to increase promotion and tenure rates for underrepresented and other early-career faculty . . . 623,000

88

DIVERSITY Appropriated

Firelight Media, Inc.,New York, New York:

To support the production of Tell Them We Are Rising, a historical documentary series on Historically Black Colleges and Universities . . . . . . 400,000

Fisk University,Nashville, Tennessee:

To support the development of the Center for Teaching and Learning . . . . . . . . . . . . . . . . . . . . . . 500,000


To continue support for the production of theMellon Mays Undergraduate Fellowship program undergraduate journal . . . . . . . . . . . . . . . . . . . . . . 60,000

Morehouse College,Atlanta, Georgia:

To renew support for the Cinema, Television, and Emerging Media Studies program . . . . . . . . . . . . . . 386,000

National Center for Civil and Human Rights Foundation, Inc.,Atlanta, Georgia:

To support the creation of the John Lewis Fellowship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600,000

Pomona College,Claremont, California:

To support the establishment of a Mellon MaysUndergraduate Fellowship program at four campuses . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,000,000

89

DIVERSITY(continued) Appropriated

Social Science Research Council,Brooklyn, New York:

To support administration of both the Social Science Research Council Predoctoral Grants and the Graduate Initiatives Grants Program for Mellon Mays graduate students . . . . . . . . . . . . . . . . . . . . . 4,214,822

Spelman College,Atlanta, Georgia:

To support curricular development . . . . . . . . . . . . . 357,000

Syracuse University,Syracuse, New York:

To support three Democratizing Knowledge facultycollaborative summer institutes . . . . . . . . . . . . . . . . 500,000

Tougaloo College,Tougaloo, Mississippi:

To support faculty development activities in the use of digital technologies and digital humanities methodologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500,000

To support planning for the development of an Institute for the Study of Modern Slavery . . . . . . . . 65,000

University of California at Riverside,Riverside, California:

To support the establishment of a Mellon Mays Undergraduate Fellowship program . . . . . . . . . . . . 500,000

To support a seminar series in intercultural studies exploring the importance of campus diversity to teaching and research . . . . . . . . . . . . . . . . . . . . . . . 208,000

90



To support a summer research program for fellows in the Mellon Mays Undergraduate Fellowship program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800,000

The Board of Trustees of the University of Illinois,Chicago, Illinois:

To support dissertation completion fellowships in Latino studies centers at four universities . . . . . . . . 800,000

University of New Mexico,Albuquerque, New Mexico:


University of Pennsylvania,Philadelphia, Pennsylvania:

To support research and publication of “Diverse Students, Diverse Experiences: Minority Student Achievement at America’s Selective Colleges and Universities” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400,000




To support the one-year renewal of a Mellon Mays Undergraduate Fellowship program . . . . . . . . . . . . 125,000

Wesleyan University,Middletown, Connecticut:


91


Williams College,Williamstown, Massachusetts:


Xavier University of Louisiana,New Orleans, Louisiana:

To support the Center for the Advancement of Teaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500,000

To support the Center for Undergraduate Research . . 400,000_______________________

Total—Diversity $15,898,222______________________________________________

92


Rhodes University,Grahamstown, South Africa:

To support further development of research and graduate education focus areas in the humanities . . $ 700,000

To support the establishment of a Postgraduate Studies Centre . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130,000

Stellenbosch University,Matieland, South Africa:

To support the expansion of the Early Research Career Development Program . . . . . . . . . . . . . . . . 600,000

To support the conceptualization and planning of a research program entitled “Indexing the Human” . . 46,700

University of Cape Town,Cape Town, South Africa:

To support the Institute for Humanities in Africa . . 1,286,000

To support expansion and development of theactivities of the Centre for Social Science Research . 500,000

To support the Opera School Fellowship Program . 325,000

To support the Other Histories project of the Center for Curating the Archive . . . . . . . . . . . . . . . 307,000

To support the Fine Music Radio lecture series . . . . 16,000

University of Pretoria,Pretoria, South Africa:

To support a second and final phase of the Human Economy Project . . . . . . . . . . . . . . . . . . . . 937,000

University of the Free State,Bloemfontein, South Africa:

To support a research and graduate training program on trauma, memory, and representations of the past . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 844,000

93

INTERNATIONAL HIGHER EDUCATION ANDSTRATEGIC PROJECTS Appropriated

University of the Western Cape,Bellville, South Africa:

To support graduate student mentorship . . . . . . . . . 1,000,000

To support a research and graduate training project on food contestation . . . . . . . . . . . . . . . . . . . . . . . . 652,000

To support research masters and PhD students andpostdoctoral fellows . . . . . . . . . . . . . . . . . . . . . . . . 234,000

University of the Witwatersrand,Johannesburg, South Africa:

To support a research project in the field of medicalhumanities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 880,000

To support a research and postgraduate development project entitled “Governing Morality: Gender Sexuality and Migration in South Africa” at the African Center for Migration and Society . . . . . . . . 229,000

To support discretionary initiatives of the new vice-chancellor . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150,000____________________

Total—International Higher Education and Strategic Projects $8,836,700________________________________________

94

INTERNATIONAL HIGHER EDUCATION ANDSTRATEGIC PROJECTS


Classroom, Inc.,New York, New York:

To support expansion and dissemination of game-based learning and teacher development programs to improve outcomes for disadvantaged middle- and high-school students . . . . . . . . . . . $ 500,000

Independent Sector,Washington, DC:

To support publication of an updated Principles for Good Governance and Ethical Practice . . . . . 10,000

Philanthropy New York,New York, New York:

To support a membership program . . . . . . . . . . 40,000___________________________

Total—Public Affairs $ 550,000______________________________________________________

95

PUBLIC AFFAIRS Appropriated

Doe Fund, Inc.,New York, New York:

To provide general support . . . . . . . . . . . . . . . . $ 100,000

Foundation Center,New York, New York:

To provide general support . . . . . . . . . . . . . . . . 75,000

GrowNYC,New York, New York:

To provide general support . . . . . . . . . . . . . . . . 30,000

GuideStar USA, Inc.,Williamsburg, Virginia:

To support a membership program . . . . . . . . . . 25,000

Nonprofit Coordinating Committee of New York, Inc.,New York, New York:

To provide general operating support . . . . . . . . 75,000___________________________

Total—Contributions $ 305,000

Matching Gifts $ 887,123___________________________

Grand Totals $ 241,257,410______________________________________________________

96

CONTRIBUTIONS Appropriated

Financial Statements

INDEPENDENT AUDITOR’S REPORT

To the Board of Trustees ofThe Andrew W. Mellon Foundation

We have audited the accompanying financial statements of the Andrew W. MellonFoundation (the “Foundation”), which comprise the balance sheets as of December 31,2014 and December 31, 2013, and the related statements of activities and cash flows forthe years then ended.

Management’s Responsibility for the Financial Statements

Management is responsible for the preparation and fair presentation of the financial state-ments in accordance with accounting principles generally accepted in the United Statesof America; this includes the design, implementation, and maintenance of internal con-trol relevant to the preparation and fair presentation of financial statements that are freefrom material misstatement, whether due to fraud or error.

Auditor’s Responsibility

Our responsibility is to express an opinion on the financial statements based on our audits.We conducted our audits in accordance with auditing standards generally accepted inthe United States of America. Those standards require that we plan and perform the auditto obtain reasonable assurance about whether the financial statements are free from mate-rial misstatement.

An audit involves performing procedures to obtain audit evidence about the amountsand disclosures in the financial statements. The procedures selected depend on our judg-ment, including the assessment of the risks of material misstatement of the financialstatements, whether due to fraud or error. In making those risk assessments, we considerinternal control relevant to the Foundation’s preparation and fair presentation of the finan-cial statements in order to design audit procedures that are appropriate in thecircumstances, but not for the purpose of expressing an opinion on the effectiveness ofthe Foundation’s internal control. Accordingly, we express no such opinion. An audit alsoincludes evaluating the appropriateness of accounting policies used and the reasonablenessof significant accounting estimates made by management, as well as evaluating theoverall presentation of the financial statements. We believe that the audit evidence we haveobtained is sufficient and appropriate to provide a basis for our audit opinion.

Opinion

In our opinion, the financial statements referred to above present fairly, in all materialrespects, the financial position of the Andrew W. Mellon Foundation at December 31,2014 and December 31, 2013, and the changes in its net assets and its cash flows forthe years then ended in accordance with accounting principles generally accepted in theUnited States of America.

PricewaterhouseCoopers LLPNew York, NYMay 27, 2015

98

2014 2013_____ _____(in thousands of dollars)

ASSETSInvestmentsMarketable securities . . . . . . . . . . . . . . . . . . . . . $ 2,136,246 $ 1,972,334Alternative investments . . . . . . . . . . . . . . . . . . . 4,243,144 4,170,415___________ ___________

6,379,390 6,142,749Receivable (payable) from unsettled securitiestransactions, net . . . . . . . . . . . . . . . . . . . . . . . (132) 2,236___________ ___________

6,379,258 6,144,985Cash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,034 221Investment receivable . . . . . . . . . . . . . . . . . . . . . . 975 1,025Other assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,892 3,131Taxes receivable . . . . . . . . . . . . . . . . . . . . . . . . . . 6,591 1,722Property, at cost, less accumulated depreciation of$30,143 and $27,773 at December 31, 2014 and2013, respectively . . . . . . . . . . . . . . . . . . . . . . . 34,775 37,145___________ ___________

Total assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 6,427,525 $ 6,188,229___________ ______________________ ___________

LIABILITIES AND NET ASSETSLiabilitiesGrants payable . . . . . . . . . . . . . . . . . . . . . . . . . $ 47,584 $ 39,785Accrued expenses, including interest payable . . . 4,674 8,982Deferred federal excise tax . . . . . . . . . . . . . . . . . 24,100 22,700Debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294,350 274,350___________ ___________

Total liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . 370,708 345,817

Net assets (unrestricted) . . . . . . . . . . . . . . . . . . . . 6,056,817 5,842,412___________ ___________Total liabilities and net assets . . . . . . . . . . . . . . . . $ 6,427,525 $ 6,188,229___________ ______________________ ___________

99

The accompanying notes are an integral part of these financial statements.


Balance SheetsDecember 31, 2014 and 2013


INVESTMENT RETURNGain on investmentsRealized, net . . . . . . . . . . . . . . . . . . . . . . . . . $ 414,882 $ 547,660Unrealized, net . . . . . . . . . . . . . . . . . . . . . . . . 68,337 389,187

Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9,146 9,742Dividends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14,032 11,456___________ ___________

506,397 958,045Less: Investment management expenses . . . . . . . (12,075) (12,684)___________ ___________Net investment return . . . . . . . . . . . . . . . . . . . . 494,322 945,361___________ ___________

EXPENSESProgram grants and contributions, net . . . . . . . . 238,396 233,258Grantmaking operations . . . . . . . . . . . . . . . . . . 15,540 15,058Direct charitable activities . . . . . . . . . . . . . . . . . 1,769 1,869Investment operations . . . . . . . . . . . . . . . . . . . . 8,271 7,092Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6,275 9,707Current provision for taxes . . . . . . . . . . . . . . . . 9,249 13,772Other expenses . . . . . . . . . . . . . . . . . . . . . . . . . 417 453___________ ___________

279,917 281,209___________ ___________Change in net assets . . . . . . . . . . . . . . . . . . . . . . . 214,405 664,152

NET ASSETS (UNRESTRICTED)Beginning of year . . . . . . . . . . . . . . . . . . . . . . . . 5,842,412 5,178,260___________ ___________End of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . $6,056,817 $5,842,412___________ ______________________ ___________

100



Statements of ActivitiesYears Ended December 31, 2014 and 2013


Cash flow from investment income and operationsChange in net assets . . . . . . . . . . . . . . . . . . . . . . . $ 214,405 $ 664,152____________ ____________

Adjustments to reconcile change in unrestricted net assets to net cash used by investment income and operations

Realized gain on investments, net . . . . . . . . . . . . (414,882) (547,660)Unrealized gain on investments, net . . . . . . . . . . (69,737) (397,187)Decrease in investment receivable . . . . . . . . . . . 50 1,616Decrease in other assets . . . . . . . . . . . . . . . . . . . 239 185(Increase) decrease in taxes receivable . . . . . . . . (4,869) 4,782Increase in grants payable . . . . . . . . . . . . . . . . . 7,799 239Decrease in accrued expenses . . . . . . . . . . . . . . (4,308) (315)Depreciation and amortization expense . . . . . . . 2,370 2,420Increase in deferred federal excise tax payable . . 1,400 8,000Net effect of bond amortization . . . . . . . . . . . . . (562) 815____________ ____________

Total adjustments . . . . . . . . . . . . . . . . . . . . . . . . . (482,500) (927,105)____________ ____________

Net cash used by investment income and operations (268,095) (262,953)____________ ____________

Cash flow from investing activitiesProceeds from sales of marketable securitiesShort-term . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,918,137 1,559,970Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,218,714 2,111,647

Receipts from alternative investments . . . . . . . . 840,549 699,485Purchases of marketable securitiesShort-term . . . . . . . . . . . . . . . . . . . . . . . . . . . (1,882,915) (1,924,612)Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3,327,891) (1,844,063)

Purchases of alternative investments . . . . . . . . . (515,686) (299,445)____________ ____________

Net cash provided by investing activities . . . . . . . . 250,908 302,982____________ ____________

Cash flow from financing activitiesBorrowings under nonrevolving credit facilities . . . 230,000 —Borrowings under revolving credit facility . . . . . . . 40,000 110,000Redemption of 3.95% fixed rate bond . . . . . . . . . . (230,000) —Repayment of borrowings under nonrevolving credit facilities . . . . . . . . . . . . . . . . . . . . . . . . . . (20,000) —

Repayment of borrowings under revolving credit facility . . . . . . . . . . . . . . . . . . . . . . . . . . . — (150,000)____________ ____________Net cash provided (used) by financing activities . . 20,000 (40,000)____________ ____________Net increase in cash . . . . . . . . . . . . . . . . . . . . . . 2,813 29

CashBeginning of year . . . . . . . . . . . . . . . . . . . . . . . . . 221 192____________ ____________End of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 3,034 $ 221____________ ________________________ ____________

Supplemental disclosure of noncash investing activitiesDistributions of securities received from

alternative investments . . . . . . . . . . . . . . . . . . $ 58,867 $ 39,798____________ ________________________ ____________

101


The Andrew W. Mellon FoundationStatements of Cash FlowsYears Ended December 31, 2014 and 2013

1. ORGANIZATION AND SUMMARY OF SIGNIFICANTACCOUNTING POLICIES

The Andrew W. Mellon Foundation (the “Foundation”) is a not-for-profit corporation underthe laws of the State of New York. The Foundation makes grants in five core program areas:higher education and scholarship in the humanities; arts and cultural heritage; scholarlycommunications; diversity; and international higher education and strategic projects. In2014, the Foundation closed its conservation and environment program and will no longerappropriate grants in this area.

The financial statements of the Foundation have been prepared in conformity withaccounting principles generally accepted in the United States of America (“GAAP”). The sig-nificant accounting policies followed are described below.

InvestmentsThe Foundation’s financial assets and financial liabilities are stated at fair value. Fair value

is defined as the price that would be received to sell an asset or paid to transfer a liability inan orderly transaction between market participants at the measurement date.

The Foundation utilizes the practical expedient in valuing certain of its investments whereownership is represented by a portion of partnership capital or shares representing a net assetvalue investment. The practical expedient is an acceptable method under GAAP to determinethe fair value of investments that (i) do not have a readily determinable fair value predicatedupon a public market, and (ii) have the attributes of an investment company or prepare theirfinancial statements consistent with the measurement principles of an investment company.

A fair value hierarchy prioritizes the inputs to valuation techniques used to measure fairvalue. The hierarchy gives the highest priority to unadjusted quoted prices in active marketsfor identical assets (Level 1 measurements) and the lowest priority to unobservable inputs (Level3 measurements). The three levels of the fair value hierarchy are as follows:

Level 1 Inputs that reflect unadjusted quoted prices in active markets for identical assetsor liabilities that the Foundation has the ability to access at the measurement date.

Level 2 Inputs other than quoted prices that are observable for the asset or liability eitherdirectly or indirectly, including inputs in markets that are not considered to be active.

Level 3 Inputs that are unobservable.Inputs are used in applying the various valuation techniques and refer to the assumptions

that market participants use to make valuation decisions. Inputs may include price informa-tion, credit data, liquidity statistics and other factors. A financial instrument’s level within thefair value hierarchy is based on the lowest level of any input that is significant to the fair valuemeasurement. The Foundation considers observable data to be that market data which is read-ily available and reliable and provided by independent sources. The categorization of a financialinstrument within the hierarchy is therefore based upon the pricing transparency of the instru-ment and does not necessarily correspond to the Foundation’s perceived risk of that instrument.

102


NOTES TO FINANCIAL STATEMENTSDecember 31, 2014 and 2013

Investments whose values are based on quoted market prices in active markets are clas-sified as Level 1 and include active listed equities and certain short-term fixed incomeinvestments. The Foundation does not adjust the quoted price for such instruments, even insituations where the Foundation holds a large position and a sale of all its holdings could rea-sonably impact the quoted price.

Investments that trade in markets that are not considered to be active, but are valued basedon quoted market prices, dealer quotations, or alternative pricing sources are classified as Level2. These include certain US government and sovereign obligations, government agency oblig-ations, investment grade corporate bonds, commingled funds and less liquid equity securities.

Investments classified as Level 3 have significant unobservable inputs, as they trade infre-quently or not at all. The inputs into the determination of fair value are based upon the bestinformation in the circumstance and may require significant management judgment. The major-ity of the Foundation’s alternative investments are classified as Level 3. These investments areprimarily made under agreements to participate in limited partnerships and are generally sub-ject to certain withdrawal restrictions. Values for these partnerships, which may includeinvestments in both nonmarketable and market-traded securities, are provided by the gen-eral partner and may be based on recent transactions, cash flow forecasts, appraisals and otherfactors. Market values may be discounted for concentration of ownership. Because of the inher-ent uncertainty of valuing the investments in such partnerships and certain of the underlyinginvestments held by the partnerships, the Foundation’s estimate of fair value may differ sig-nificantly from the values that would have been used had a ready market for the investmentsexisted. The financial statements of the limited partnerships are audited annually by independentauditing firms. Investments in these partnerships may be illiquid, and thus there can be noassurance that the Foundation will be able to realize the full recorded fair value of such invest-ments in a timely manner.

Realized gains and losses on investments in marketable securities are calculated based onthe first-in, first-out identification method. Included in receivable (payable) from unsettled secu-rities transactions in the accompanying Balance Sheets are receivables of $14.2 million and $17.5million from unsettled security sales at December 31, 2014 and 2013, respectively, net of payablesfrom unsettled securities purchases of $14.3 million and $15.3 million at December 31, 2014and 2013, respectively. These receivables and payables are classified as Level 1.

GrantsGrant appropriations include both conditional and unconditional grants. Unconditional

grants are expensed when appropriated. Certain grants are approved by the Trustees subjectto the grantee fulfilling specific conditions, most frequently that all or a portion of the grantfunds be matched in a specified ratio. Such conditional grants are considered commitmentsand are not recorded as expense until the Foundation determines that the material conditionsof the grant are substantially met or such meeting of conditions is probable.

Substantially all grants payable are due within one year and are recorded at face value.

TaxesThe Foundation qualifies as a tax-exempt organization under Section 501(c) (3) of the

Internal Revenue Code and, accordingly, is not subject to federal income taxes. However, theFoundation is subject to a federal excise tax. The Foundation follows the policy of providingfor federal excise tax on the net appreciation (both realized and unrealized) of investments.The deferred federal excise tax in the accompanying financial statements represents tax pro-vided on the net unrealized appreciation of investments. Under federal tax law the Foundationcannot carry forward realized losses resulting from the sale of investments. The Foundationis subject to income tax at corporate rates on certain income that is considered unrelated busi-ness income under the Internal Revenue Code. The Foundation’s tax returns are subject to

103

examination by federal and various state tax authorities. With few exceptions the Foundationis no longer subject to tax examinations for years prior to 2011.

PropertyProperty consists of land held at cost, and buildings and their improvements located in

New York City. These buildings are depreciated on a straight-line basis over their usefullives, generally twenty-five to twenty-eight years. Building improvements are depreciatedover the remaining useful life of the building. The net book value of property, excluding land,was $30.6 million at December 31, 2014, compared to $33.0 million at December 31, 2013.

Investment ReturnInvestment return includes income and realized and unrealized gains or losses on all invest-

ments. Unrealized gain or loss comprises the change in unrealized appreciation or depreciationon marketable securities and alternative investments, net of deferred federal excise tax pro-vided on such unrealized appreciation. Realized gains or losses include gains or losses realizedon the sale of marketable securities and the Foundation’s share of the operating results of part-nership investments, whether distributed or undistributed.

ExpensesGrantmaking operations include all costs related to appropriating, paying and adminis-

tering grants. Direct charitable activities include building operating expenditures for twoindependent not-for-profit entities, and expenditures for research. Investment operations includethe costs of supervising the Foundation’s investment portfolio. Interest expense includes inter-est, amortization of deferred bond issuance costs, commitment fees and remarketing feesincurred in connection with servicing the Foundation’s debt. Current provision for taxesincludes federal and state taxes. Other expenses include certain expenses that the Foundationis not permitted to report either as an expense of distribution or an expense of earningincome.

Salaries and benefits are allocated to the activities listed above, and also to core adminis-tration, based on estimates of the time each staff member devoted to that activity. Coreadministration expenses are then prorated among the activities listed above based on head-count allocations. Identifiable costs, such as consultants, are charged directly to each activity.

Amounts for program grants, grantmaking operations, and direct charitable activitiesshown on the Statement of Activities will not agree with the amounts on the Foundation’s Form990PF, the federal excise tax return, because a cash basis is required for reporting theexpenses of distribution for tax purposes as contrasted with the accrual basis used in prepar-ing the accompanying financial statements.

The administrative expenses of distribution, including direct charitable activities, were $17.3million (7.2% of appropriated grants) in 2014, compared to $16.9 million (7.2% of appro-priated grants) in 2013.

Investment management expenses are the direct costs of portfolio management, includ-ing fees for investment management, custody and advisory services.

104

Notes to Financial Statements, (continued)

Recent Accounting PronouncementIn May 2015, the Financial Accounting Standards Board issued Accounting Standards

Update (“ASU”) 2015-07, Disclosures for Investments in Certain Entities That CalculatedNet Asset Value per Share (or Its Equivalent). The ASU removes the requirement to catego-rize within the fair value hierarchy all investments for which fair value is measured using thepractical expedient. The ASU further removes the requirement to make certain disclosuresfor all investments that are eligible to be measured at fair value using the practical expedient.This ASU is effective for annual periods beginning after December 15, 2015. The Foundationdoes not expect the adoption of the ASU to have a material effect on its financial statements.

The Foundation’s expenses by natural classification are as follows for 2014 and 2013:


Program grants and contributions, net . . . . . . . . . . . . $238,396 $233,258Salaries, pensions and benefits . . . . . . . . . . . . . . . . . . 17,276 16,202Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6,275 9,707Current provision for taxes . . . . . . . . . . . . . . . . . . . . . 9,249 13,772Other operating expenses . . . . . . . . . . . . . . . . . . . . . . 8,721 8,270_________ _________

$279,917 $281,209_________ __________________ _________

Use of EstimatesThe preparation of financial statements in accordance with GAAP requires management

to make estimates and assumptions that affect the reported amounts of assets and liabilitiesat the date of the financial statements and the reported amounts of revenues and expensesduring the reported periods. Actual results could differ from those estimates.

ReclassificationsCertain 2013 amounts have been reclassified to conform to the 2014 presentation.

2. INVESTMENTS

Investments held at December 31, 2014 and 2013 are summarized as follows:

2014 2013________________________ ________________________Fair Value Cost Fair Value Cost___________ __________ ___________ ___________

(in thousands of dollars)Equities . . . . . . . . . . . . . . $1,411,216 $1,236,859 $1,279,498 $1,049,871Fixed income . . . . . . . . . . 263,449 262,514 195,031 192,664Short-term . . . . . . . . . . . . 461,581 461,581 496,704 496,675Derivative financial instruments . . . . . . . . . . — — 1,101 3,632__________ __________ __________ __________

2,136,246 1,960,954 1,972,334 1,742,842Alternative investments . . . 4,243,144 3,213,848 4,170,415 3,265,027__________ __________ __________ __________

$6,379,390 $5,174,802 $6,142,749 $5,007,869__________ __________ __________ ____________________ __________ __________ __________

105

The classification of investments by level within the valuation hierarchy as of December 31,2014 is as follows:

Significant SignificantQuoted Observable UnobservablePrices Inputs Inputs

(Level 1) (Level 2) (Level 3) Total___________ __________ ___________ ___________(in thousands of dollars)

Marketable securities . . . . $ 906,554 $1,229,692 $ — $2,136,246Alternative investments . . . — 801,392 3,441,752 4,243,144Payable from unsettledsecurity purchases, net . . (132) — — (132)__________ __________ __________ __________

$ 906,422 $2,031,084 $3,441,752 $6,379,258__________ __________ __________ ____________________ __________ __________ __________

The classification of investments by level within the valuation hierarchy as of December31, 2013 is as follows:

Significant SignificantQuoted Observable UnobservablePrices Inputs Inputs

(Level 1) (Level 2) (Level 3) Total___________ __________ ___________ ___________(in thousands of dollars)

Marketable securities . . . . $ 795,775 $1,176,559 $ — $1,972,334Alternative investments . . . — 632,773 3,537,642 4,170,415Receivable from unsettledsecurities sales, net . . . . 2,236 — — 2,236__________ __________ __________ __________

$ 798,011 $1,809,332 $3,537,642 $6,144,985__________ __________ __________ ____________________ __________ __________ __________

The reconciliation of activity for Level 3 investments is as follows:

2014 2013____________ ___________Alternative Investments__________________________(in thousands of dollars)

Balance at January 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $3,537,642 $3,588,595Transfers from Level 3 to Level 2 . . . . . . . . . . . . . . . . . . . . (105,734) (310,156)Transfers from Level 2 to Level 3 . . . . . . . . . . . . . . . . . . . . — 70,645Net realized gains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268,885 312,362Income . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49,005 95,865Purchases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450,686 299,445Distributions/redemptions . . . . . . . . . . . . . . . . . . . . . . . . . (873,025) (739,283)Net unrealized gains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114,293 220,169__________ __________Balance at December 31 . . . . . . . . . . . . . . . . . . . . . . . . . . . $3,441,752 $3,537,642__________ ____________________ __________

Net unrealized gains included in the Statements of Activities for investments designatedas Level 3 and held at December 31, 2014 and 2013 were $142.2 million and $273.1 mil-lion, respectively. There were no transfers between Level 1 and Level 2 in 2014 or in 2013.

106


107

Set forth below is additional information pertaining to alternative investments as ofDecember 31, 2014 and 2013:

Fair Value Fair Value Redemption Redemption2014 2013 Frequency Notice Period___________ __________ ___________ ___________

(in thousands of dollars)Equity long only (1) . . . . . $ 269,943 $ 332,601 Monthly/ 30-90 Days

QuarterlyEquity long/short (2) . . . . 447,770 466,949 Quarterly/ 30-60 Days

AnnuallyDiversified (3) . . . . . . . . . 1,041,427 950,654 Quarterly/ 45-180 Days

AnnuallyPrivate partnerships (4) . . 2,484,004 2,420,211__________ __________

$4,243,144 $4,170,415__________ ____________________ __________

(1) This category includes investments in funds that invest in equity securities and derivativesin domestic and international markets. The Foundation estimates that approximately 53%of the value of these funds can be redeemed within 12 months. There are no unfundedcommitments in this category.

(2) This category includes investments in funds that invest long and short in domestic andinternational securities, primarily in equity securities and investments in derivatives. TheFoundation estimates that approximately 84% of the value of these funds can be redeemedwithin 12 months. There are no unfunded commitments in this category.

(3) This category includes investments in funds that invest in a variety of privately held andpublicly available securities, including equities, corporate and government bonds, con-vertibles, derivatives, and includes investments in domestic and international markets. TheFoundation estimates that approximately 81% of the value of these funds can be redeemedwithin 12 months. Unfunded commitments at December 31, 2014 were $43 million com-pared to $19 million at December 31, 2013.

(4) This category includes investments in private equity, venture capital, buyout, credit oppor-tunity, real estate, and energy-related funds. These funds invest both domestically andinternationally across a broad spectrum of industries. Generally these funds cannot beredeemed; instead, the nature of the investments is that distributions will be received as theunderlying investments of the fund are liquidated. Unfunded commitments at December 31,2014 were $947 million, compared to $952 million at December 31, 2013.Through certain investment managers, the Foundation is a party to a variety of interest

rate swaps and options. At December 31, 2013, approximately $3.0 million in assets and $1.8million in liabilities related to these financial instruments are included in derivative financialinstruments. There were no interest rate swaps or options held at December 31, 2014.

At December 31, 2013, the Foundation had open foreign currency contracts with notionalamounts of approximately $20.6 million in assets and $20.7 million in liabilities included inderivative financial instruments. There were no open foreign currency contracts held atDecember 31, 2014. Derivative financial instruments are carried at fair value, and changesin fair value are recognized currently in the Statements of Activities.

Financial instruments such as those described above involve, to varying degrees, elementsof market risk and credit risk in excess of the amounts recorded on the balance sheet. Marketrisk represents the potential loss the Foundation faces due to the decrease in the value of finan-cial instruments. Credit risk represents the maximum potential loss the Foundation faces dueto possible nonperformance by obligors and counterparties as to the terms of their contracts.

Management does not anticipate that losses, if any, resulting from its market or credit riskswould materially affect the financial position and operations of the Foundation.

The Foundation invests in a variety of fixed income securities and contractual instruments,which by their nature are interest rate sensitive. Changes in interest rates will affect the valueof such securities and contractual instruments.

3. DEBT

Debt outstanding as of December 31, 2014 and 2013 is as follows:


Nonrevolving lines of credit, due June 30, 2017 . . . . . . $210,000 $ —Variable rate bonds, due December 1, 2032 . . . . . . . . 44,350 44,350Secured revolving line of credit, due April 30, 2016 . . . 40,000 —3.95% fixed rate bonds, due August 1, 2014 . . . . . . . . — 230,000_________ _________

$294,350 $274,350_________ __________________ _________

On February 26, 2014, the Foundation entered into two nonrevolving credit agreementsthat permitted the Foundation to borrow up to an aggregate $230 million and that matureon June 30, 2017. The interest rate on borrowings is LIBOR plus 35 basis points. TheFoundation drew down these nonrevolving lines of credit in full on July 31, 2014 and usedthe proceeds to redeem the 3.95% bonds. Prior to December 31, 2014, the Foundation repaid$20 million of the nonrevolving lines of credit. Interest incurred on the 3.95% bonds, exclu-sive of amortization of deferred bond issuance costs, was $5.3 million in 2014 and $9.1 millionin 2013. The Foundation estimates that the fair value of the 3.95% bonds were $234.3 mil-lion at December 31, 2013.

Interest for the Variable Rate bonds is reset weekly by the Foundation’s bond agent. Bondholders have the right to tender their bonds to the bond agent weekly, and the agent has anobligation to remarket such bonds. Bonds that cannot be remarketed must be redeemed bythe Foundation. The Foundation believes that the fair value of the Variable Rate bonds approx-imates their book value. The average interest rate applicable in 2014 and 2013 for the VariableRate bonds was 0.13%. Interest incurred, exclusive of amortization of deferred bond issuancecosts and fees, was $60 thousand and $59 thousand in 2014 and 2013, respectively.

In connection with the Variable Rate bond offering, the Foundation entered into a $30 mil-lion dedicated line of credit agreement. Borrowings, if any, under this line of credit are at thediscretion of the Foundation and are to be used solely to fund redemption requirements ofthe Variable Rate bonds. The line of credit agreement expires on September 8, 2015. The annualcommitment fee is 0.25%. As of December 31, 2014 and 2013, there were no borrowings out-standing under this line of credit.

On April 30, 2014, the Foundation entered into a two year secured revolving line of creditagreement (“Credit Agreement”) which permits the Foundation to borrow up to $145 mil-lion. At December 31, 2014, borrowings of $40 million were outstanding under the CreditAgreement. These borrowings were repaid on March 16, 2015. Borrowings under the CreditAgreement are to be used to pay grants or other qualifying distributions. The interest rate onborrowings is LIBOR plus 30 basis points and the annual commitment fee is 0.05%. One ofthe Foundation’s managed accounts valued at $123.9 million, as of December 31, 2014, hasbeen pledged to secure borrowings under the Credit Agreement. The pledged account isincluded in Marketable Securities in the accompanying Balance Sheet.

108


4. TAXES

The Internal Revenue Code imposes an excise tax on private foundations equal to two per-cent of net investment income (principally interest, dividends, and net realized capital gains,less expenses incurred in the production of investment income). This tax is reduced to onepercent when a foundation meets certain distribution requirements under Section 4940(e)of the Internal Revenue Code. The Foundation was subject to the two percent rate in 2014and 2013. Certain income defined as unrelated business income by the Code may be sub-ject to tax at ordinary corporate rates. Taxes paid, net of refunds, in 2014 and 2013 were $14.1million and $9.0 million, respectively.

The current and deferred provision for taxes for 2014 and 2013 are as follows:


Current provision (benefit)Federal excise tax on net investment income . . . . . . . . $9,571 $11,820Federal and state taxes on unrelated business income . . (322) 1,952_______ ________

$9,249 $13,772_______ _______________ ________Deferred provisionChange in unrealized appreciation (1) . . . . . . . . . . . . . $1,400 $ 8,000_______ _______________ ________(1) The deferred tax provision is reflected on the Statement of Activities and represents the

change in net unrealized appreciation of investments at two percent.

5. GRANTS, CONTRIBUTIONS, AND COMMITMENTS

The following table of grant activity by major program area includes all grant appropria-tions approved during 2014. Grants payable and committed at December 31, 2013 have beenadjusted to reflect cancellations of $192 thousand.

Payable and Payable andCommitted 2014 Committed

December 31, Grants and Commitments December 31,________________________2013 Appropriated Paid 2014_____________ ______________ _________ _____________

(in thousands of dollars)Higher Education and Scholarship in the Humanities . . . . . . . . . . . $16,529 $109,894 $110,523 $15,900

Arts and Cultural Heritage . . 23,192 71,453 60,069 34,576Scholarly Communications . . 4,068 33,433 33,204 4,297Diversity . . . . . . . . . . . . . . . 500 15,898 15,898 500International Higher Education andStrategic Projects . . . . . . . — 8,837 8,512 325

Public Affairs . . . . . . . . . . . . — 550 550 —Conservation and the Environment . . . . . . . . . . 4,793 — 1,893 2,900________ _________ _________ ________

Program grants andcommitments — totals . . . 49,082 240,065 230,649 58,498

Contributions and matching gifts . . . . . . . . . — 1,192 1,192 —________ _________ _________ ________

$49,082 $241,257 $231,841 $58,498________ _________ _________ ________________ _________ _________ ________

109

Grant and grant commitment activity is summarized below.

2014 2013__________ __________(in thousands of dollars)

Grants payableGrants payable at January 1 . . . . . . . . . $ 39,785 $ 39,546Grant expense . . . . . . . . . . . . . . . . . . . 239,640 234,611Less: Grants paid . . . . . . . . . . . . . . . . . (231,841) (234,372)__________ __________Grants payable at December 31 . . . . . . $ 47,584 $ 39,785__________ ____________________ __________

Net grant expenseUnconditional grants . . . . . . . . . . . . . . $ 185,974 $ 203,894Conditional grants meeting conditions for expense . . . . . . . . . . . . . . . . . . . 53,666 30,717__________ __________

239,640 234,611Less: Grant refunds . . . . . . . . . . . . . . . (1,244) (1,353)__________ __________Net grant expense at December 31 . . . $ 238,396 $ 233,258__________ ____________________ __________

Grant commitmentsGrant commitments at January 1 . . . . . $ 9,297 $ 8,989Less commitments cancelled . . . . . . . . — (192)Conditional grants appropriated . . . . . 55,283 31,217Less: Grants meeting conditions for expense . . . . . . . . . . . . . . . . . . . (53,666) (30,717)__________ __________

Grant commitments at December 31 . . $ 10,914 $ 9,297__________ ____________________ __________

6. SUBSEQUENT EVENTS

The Foundation has evaluated subsequent events through May 27, 2015, the date the finan-cial statements were issued, and believes no additional disclosures are required in its financialstatements.

110


report of the andrew w. mellon foundation 2014 · patricia j. diaz, associate general counsel...

Documents